t>eletiea MeveEI tfem - Edinburgh Tram Inquiry · (7.13] Failure to provide all labour, goods,...

$Page 1: t>eletiea MeveEI tfem - Edinburgh Tram Inquiry · (7.13] Failure to provide all labour, goods, materials, lnfraco's ,/ Equipment, Temporary Works, transport to and from the Site and$
Document comparison by Workshare Professional on 14 December 2007 11:20:02 Input:!

Document 1 ID interwovenSite://ED IDMS/U KMATTERS/15778923/1

Description #15778923v1 <UKMATTERS> - lnfraco Allocation of Contractual Risks checklist - Roley 14.9.07

Document 2 ID interwovenSite://EDIDMS/UKMATTERS/17021595/1

Description #17021595v1 <UKMATTERS> - lnfraco Risk Allocation Matrix December 2007

Rendering set dla standard

Legend:

Jnse.ction t>eletiea MeveEI tfem Mo:ied tQ Style change Format change MeveEI Eleletiea Inserted cell Deleted cell Moved cell SpliUMerqed cell Padding cell

Statistics:

Count Insertions 904 Deletions 651 Moved from 0 Moved to 0 Style chanqe 0 Format changed 14 Total changes 1569

l Workshare Professional comparison of interwovenSite://EDIDMSIUKMATTERS/15778923/1 and inte,wovenSite://EDIDMSIUKMATTERS/17021595/1. Performed on 14/12/2007.

CEC01430992_0001

[oLJIPER ROLEY

DRAFT INFRACO CONTRACT

EDINBURGH TRAM NETWORK

ALLOCATION OF CONTRACTUAL RISKS IN THE DRAFT INFRACO CONTRACT AS

NEGOTIAT~8Y-TIE FOLLOWING ITN Sll8MISSK»J

25 SEPTEMBER 200714 DECEMBER 2007

(8ased on 8 MarGh 2007 'Jersion of the El raft lnfraGo ContraGt as negotiated by tie)

Risk : General Obl igations Clauses Allocation

Publ ic Private Shared

[2.2] e~ensien ef Tem:i Failure to serve notice to propose extension no later than 180 days prior to expiry date,

[3.5] Termination by either party due to failure to satisfy a CP within 3 months of Effective Date which is not waived. NOTli!:: Roley has refused to aGGept the indemnity pro\•ision remains live on termination unEler this Clause.

[4.4[U]"1 Discrepancies, errors or omissions in; or between the lnfraco Proposals and, the Employers Requirements.,

[4.5]2 Failure to bring discrepancies or requirements for further information in relation to documents to the attention of tie 's Representative. NOTE: Time l imit to raise issue remains to be ag.re&d

[aj i;:aih:1Fe te adeEJ1:1ately insJ:leGt Uie Site and te take d1:1e and J:)FeJ:leF asse1:1nt ef Uie Fisks listed eelew in saFFyin§ e1:1t tl=le lnf,:ase l,GJeFks. NOTE: Tl=lis is '!Ualified by referenGe to inspestion being-GA-ly superfiGial and not in•Jol\•ing any intrusi•.•e SUF\'eys.

~3 tt:le QFe1:1nd senditiens en tt:le Site. NOTE: tie aGGepts risk of

unforeseeable ground Gonditions not apparent from ITN.

[a.1.2) all relevant safety FeEJl:liFements and envirnnmental matteFs

l Reley te Feview weFeing. 2

Business eays ane mark Ufl review sul3jest te agreement en l:lew eRs are ameneee. 3 Retey asGepts Slall3jest te re•.iiew et SI Feperl6.

I Workshare Professional comparison of

Sector Sector

,/

,/ ,/

,/

,/

+

interwoven Site:/ IEDIDMS/UKMA TTERS/15778923/1 and interwovenSite://EDIDMSIUKMATTERS/17021595/1. Performed on 14/12/2007.

+

+

+

CEC01430992_0002

Risk : General Obligations Clauses Allocation

Public Private Shared Sector Sector

fa.~ .3J tf:1e faFm aRa Rah:1Fe arnie Site +

fa.~ .4J Hie Rat1:1Fe af tl=te mate1:ials ta Be e)rna\<atea +

fa.~ .aJ tl=te e*1eRt aRa Rat1:1Fe aRa aiffic1:1lty af tl=te waFk aRa mateFials + ReGessai:y HlF tl=te G9Fflf)letiaR af tl=te IRfFaGa l,GJaFkS.

~4 tl=te ~1:1ality af aRy e* istiR§ stF1:1Gt1:1Fes wl=ticl=t will klFm f)al't af, Be +

aajaceRt ta aF Be assaciatea witt:1 tile e+t•l~ faA.7J iAjl:l!=y aF aama§e ta flF9 f)el'ty aajaceAt ta tile Site aM ta + aCCl:lf)ieFS af Sl:ICll f)Faf)eFty

fa.~ .BJ iRteFfeFeRce fFam f)aFties atlleF tllaR tie. +

fa.~ .9J tt::te f)Fesa1:1tiaAs, times aAa metllaas af waFkiA§ Aecessai:y ta + Caffif)ly witR tRe Gaae af GaAStF1:1ctiaA PFaGtiGe a Ra Gase af MaiRteAaRce PFaGtice aRs, iR accaFElaRce witll Gaas IREl1:1sti:y PFactice ta miAimise aAa A1:1isaRGe aF iRteFfeFeRGe

fa.~ .rnJ 1:1se By tlliFEI 13ai:ties af laAa BeiA§ 13aFt af aF Ae*1 ta e+t>I. + NO+E: net accepted at pf0seRt ey Raley.

fa.~ .~ ~J meaRs af samm1:1AiGatiaA witR aml FestFistieAs af ascess ta + tile-Site

fa.~ A 2J accammaaatiaA Fe~1:1iFea By IAfFaca + fa.~-~ a1 €J0AeFally ta aetaiA all Aecessai:y i Af9FFflati GR as ta Fis ks. ++-J caAtiA§0ACies a Ra atReF CiFCl:IFflStaAces iRfl1:1eRCiA!3 aF affectiA§ tRe IRfFace WeFks. NO+E: this is faetneted without teX:t.

(6..116.3] Failure to cooperate in order to facilitate carrying out the ./

lnfraco Works\

(6.3.1] Failure to approach all Permitted Variations on a collaborative ,/

and Open Book Basis.

(6.3.2 Failure to use reasonable endeavours to avoid unnecessary ,/

complaints, disputes and claims against the other Party .

(6.3.3] Failure to comply with Dispute Resolution Procedure in relation ,/

to any such complaints, disputes and claims with or against the other Party.

[6.3.4] Interference with the rights of the other Party in performing its ,/

obligations under the lnfraco Contract, or in any other way hindering or preventing the other Party from performing those obligations or from enjoying the benefits of its rights.

(6.3.5] Failure to take reasonable steps to mitigate any Ga-st&,- ,/

l:IRRecessary acts, foreseeable losses and liabilities of the other Party which are likely to arise out of any failure by the non complying party to take the steps listed in ~ to 6.3.4 above.

4 Agrees s1Jlljoot to DD aAs reassessmeAt.

5 Agrees s1JlljeGt to review er erisge assessFAeAts iA s1Je siligeAGe aAs reassessmeAt !)Fior to aware . SigAilisaAt reseP.•atioA.

l:l -Gla11se IUI GOAtaiRS !)arlAeriAg eeligaliOR6

2 Workshare Professional comparison of interwoven Site:/ IEDIDMS/UKMA TTERS/ 15778923/1 and interwovenSite://EDIDMSIUKMATTERS/1 7021595/ 1. Performed on 14/12/2007.

CEC01430992_0003

Risk : General Obligations Clauses

[6.3.6] Failure to take reasonable steps to manage, minimise and mitigate all costs.

(6 5) Failure of senior representatives to meet quarterly to discuss proposals to minimise cost and optimise quality or to discuss matters which may adversely affect the lnfraco Works the EIN CEC or the performance of the lnfraco Contract

[6.8] Failure to procure the attendance of any of the lnfraco Parties as required by tie at the..quarterly meetings describe in 6 5 above

rs11 Failure to adequately inspect the Site and to satisfy and take account of the following·

- the ground conditions on the Site·

- all relevant safety requirements and environmental matters·

- the form and nature of the Site·

- the nature of the materials to be excavated·

- the extent and nature and difficulty of the work and materials necessary for the completion of the lnfraco Works·

- the quality of any existing structures which will form part of be adjacent to or be associated with the EJN·

- risk of injury or damage to property adjacent to the Site and to occupiers of such property·

- possibility of interference from parties other than tie;

- the precautions times and methods of working necessary to comply with the Code of Construction Practice and Code of Maintenance Practice and in accordance with Good Industry Practice to minimise and nuisance or interference;

- use by third parties of land being part of or adjacent to the EJN·

- means of communication with and restrictions of access to the Site-

- accommodation required by lnfraco·

- generally to obtain all necessary information as to risks contingencies and other circumstances influencing or affecting the lnfraco Works

[7.1 ] Failure to perform the lnfraco Works fully and faithfully in accordance with the lnfraco Contract.

Failure to carry out the works in accordance with:

• (7.2] ~a reasonable level of professional skill, care and diligence to be expected of a properly qualified and competent professional contractor experienced in carrying out works and services of a similar nature to the lnfraco Works~

:.Su.bi~llo abilLty_otB.BSJ o,,pcice..foc.Existing Structur.es.1isK

3 Workshare Professional comparison of

Allocation



CEC01430992_0004

Risk : General Obl igations Clauses Allocation

Publ ic Private Sector Sector

• (7.3.1] in accordance with the lnfraco Contrac~ ./

• (7.3.2] eAaeliAgso as to enable the ETN to be designed, ./

constructed, installed, tested and commissioned, and thereafter operated and maintained;

• (7.3.3] in accordance with the lnfraco's quality management ./

system and plansa;

• (7.3.4] in compliance with the Employer's Requirements ~ ./

• (7.3.5] in compliance with the lnfraco's Proposals~ ./

• [7.3.6] in accordance with t ie and CEC policies~ ./

• (7.3.7) in accordance with the Code of Construction Practice~ ./

• (7.3.8] in accordance with the Code of Maintenance Practice; ./

• (7.3.9] in compliance with the Tram Legislation~ ./

• (7 .3.1 OJ in compliance with applicable Laws, Land Consents ./

and Consents;

• (7.3.11] using reasonably practicable means to ensure ./

impacts are no worse than residual impacts as identified in the Environmental Statements;

• [7.3.12] in compliance with environmental regulations and ./

requirements;

• [7.3.13) in accordance with Good Industry Practice~ ,/

• [7.3.14] the reci1,1iFemeAt to ensure that the design of the ETN ,/

is buildable;

• [7.3.15] the Fe(l1,1iFemeAt to provide assistance to t ie in ./

ensuring best value;

• [7.3.16] the reci1,1iremeAtlQ, not-ta wilfully detract from image of ./

tie, TEL, CEC, the Scottish Ministers, Transport Scotland or the ETN;

• [7.3.17] in accordance with OGC's "Excellence in ./

Construction" initiative;

• [7.3.18] the F9(1YiFemeAt to ensure sustainability of the ETN in ./

relation to energy consumption and the supply of materials from sustainable resources;

• [7.3.19] reci1,1iFemeAt Rot to carry 01,1t works in a manner not ./

likely to be injurious to persons or property aAEI wheFe liaeility res1,1lts fi=em IAfFaco AegligeAce OF BFeach of Uie IAfraco lJIJorks NQ+E;: +his does R9t eRG9mJ:laSS iRjurieus affeGtieR Gaused by R9R GemJ:)liaRGe 'Nith l aw.;

• [7.3.20] F9(1YiFemeAt to 1,1se~ Key Personnel, ./

[7.5.1] Failure to use reasonable endeavours to max1m1se ./

construction productivity by reference to international best practice,

(7.5.2] Failure to use reasonable endeavours to minimise disruption ./

4 Workshare Professional comparison of interwoven Site:/ IEDIDMS/UKMA TTERS/15778923/1 and interwovenSite://EDIDMSIUKMATTERS/17021595/1. Performed on 14/12/2007.

Shared

CEC01430992_0005



to the city of Edinburgh,

[7.5.3] Failure to use reasonable endeavours to maintain safety and ,/

minimise the potential for accidents and safeguardssafeguard the lnfraco Works.

(7.5.4] Failure to use reasonable endeavours to safeguard the ,/

efficiency in the obtaining of Consents.

(7.5.5] Failure to use reasonable endeavours to minimise costs. ,/

(7.6] Failure to keep itself fully informed about current professional ,/

and technical standards and about all matters relating to, or which might have a bearing on, the lnfraco Works.

(7.8] Failure to fully understand the scope and extent of requirements ,/

and sufficiency of information to complete the lnfraco Works,

[7 .9-7 .10]7'i Content complflhmflss cucCflDCl!: accucacy oc filaflss for ,/ + aay purposfl of Background Information supplied by tie or any of its stakeholders. NG+E: Roley has reseF¥ed its positioR OR the Employers RequiremeRts whiGh is a GeRtral GORtraGtual do&umeRt aloRgside the IRfraGo Proposals to meet them subjflci lo fcaudulflal statflmflals oc fcaudulflal prnllisioa of iafocmatioa by tie.

(7.11] Failure to liaise with any party, as required, to produce ,/

information required so that the lnfraco Works can be progressed properly, according to Programme and in accordance with the lnfraco Contract .

(7 .12] Failure to liaise with regard to material types, methods and ,/

programmes, cost effectiveness and temporary works in respect of any Permitted Variation.

(7.13] Failure to provide all labour, goods, materials, lnfraco's ,/

Equipment, Temporary Works, transport to and from the Site and everything else of a temporary or permanent nature required in respect of the Infra co Works which is either required in the ifl.fraoolaf.cacQ Contract or which could have beeA-reasonably .b.e.fln foreseen by an experienced contractor.

[7.14] Failure to ensure the adequacy, stability and safety of all site ,/

operations and methods of construction,

(7 .15] Use or specification ~of any materials which are known to ,/

be deleterious or contravene any relevant standard or code of practice (including Gvef0llfl Arup & Pactaflcs guidance or Good Industry Practice)

(7.16] Use of or installation on the Edinburgh Tram Network of ,/

materials which are not in accordance with the Employer's Requirements on the date of such use or installation,

(7.17] Failure to notify tie of any ground, geophysical or other surveys ,/

which the lnfraco intends to carry out.

(7 .18] Failure to notify tie of any Abortive Work. ,/

72 SUbje.cUo~ignm.enL.o.! Background Information S119jeat le DD, re\<iew el laREI risl< previsieRs aREI ER aFReREIFReRl6. FuFll=ler

sullslaRtlve ElrartiR!l re(luirea le rellest 11:le risk pesitiaA ultiFRalely settleElwilb Emplo)'er's Reguirements. 5 Workshare Professional comparison of interwoven Site:/ IEDIDMS/UKMA TTERS/15778923/1 and interwovenSite://EDIDMSIUKMATTERS/17021595/1. Performed on 14/12/2007.

CEC01430992_0006



[26.17] Failure of the lnfraco ~e:i,: eecsonnel staff and lnfcaco eacties ./

to comply with all regulatory requirements and tie's Drug and Alcohol Policy.

Risk : System lntegration8 Allocation


Eailuce to imQlement-

• f8 1 11 work to define sub-s:i,:stem 12ertormance and ./

demonstcate that the S:i,:stem Allailabilit:i,: Iai;get can be met·

• [8.1.2] management of technical interfaces including system ./ wide issues such as electro-magnetic compatibility and stray

~

current protection, noise, vibration and wheel/rail interface;

• (8 1 3) test management including the 12ce12aration of method ./ =

statements test SC[i QtS the setting of 12assLfail cciteda and anal:i,:sis·

• (8 1 4) alignment of 012ecations and maintenance Qcoceduces·

• (8 1 5] s:i,:stem actillation-

• (8 1 6] safet:i,: assucances and the Case foe Safet:i,:·

• (8 1 Z) a ceguicements tcaceabilit:i,: matox

Fail1:1re te implement:

• (8.U] werk te Elefine s1:1e system peFfermanee anEI + Eleffienstrate tt:iat tt:ie Systeffi A•,ailaeility +af§et ean ee ffiet

• (8.1.3] test manaQement, inel1:1ElinQ tt:ie preparatien ef metMEI + stateffients, test seripts, tt:ie settiA!iJ 9f pass/fail eriteria , anEI analysis

• (8.1.4] ali!iJAffient ef eperatiens anEI maintenanee preeeE11:1res +

./

./

./

./

[8.2] Failure to ensure that Trams and engineers works vehicles are ./

fully integrated with the lnfraco Works,

[8.3] Failure to carry out all of the system integration activities ./

described in the Employer's Requirements and lnfraco's Proposals.

8 Raley !:las aGGepteEI risk fer System IAlegralieR bwl fllrtl:ler revie,.., ef aelails wAEler AevaleEI 69AlraGts aAd E;mpleyer's Re(ll.liremeAls is re(lwireEI


CEC01430992_0007

Risk : System lntegration8

[8.4] Failure to liaise with the Operator and tie in respect of system operation and related design, Systems Acceptance Tests and operational defects.

[8.5] Failure to ensure that design is compatible with system integration throughout the Term.

[8.6] Failure to manage configuration control of the ETN,

[8 Zl Eailure to pcocure ttJat tbe Icam Suppliec comi;ilies wittl specific obligatioos (mocis up testiog safety etQ

Risk : Infrastructure and Equipment

[9.1 J Failure to pay the lnfraco resulting in the title in all materials, goods and equipment not transferring to CEC,

19 1) Eailure to traosfer title to CEC io all materials goods aod equipment ioteoded to form part of tbe ETN

[9 1) Eailure to deliver or iostall materials followiog advaoce paymeot iocludiog risls of iosolveocy of suQPliers

[9.2/9.3/9.4] Failure to clearly identify separate aod label project assets as the property of CEC, whether on sit or off site Eailure to include suctJ provisioos in sub-contracts

[9 5) Failure to procure tbat CEC pursues claims against suppliers of defective or faulty materials wtJictJ tJave vested in CEC and to ceimbucse lofraco of all costs recovered

[9-:949 6/9 Z 1] Failure ef--tie-to isstleprocure tbat the Certificate of Tram Gommissionin@ (d1:1e to tie defa1:1lt or d1:1e te tests net l:lavin@ been 13as~Tram Supplier transfers title to CEC in the Trams not transferrin@ te GEG<free from all Security Interests} or Team Related Equipment

[9-,.+MJ Compatibility of all infrastructure, equipment and systems and fitness for purpose (as defined complaint with the Employer's Requirements). excluding items free issued to the lnfraco by tie!

[9-:-819.9/9 10] Euro Compliance of equipment, excluding items free issued to the lnfraco by tie!

Public Sector

Public Sector

./

[9 11] Malfunction non-ooerabilitv late delivery removal or ./ replacement of free issue fare collection equipment

[94G9 12] Failure to make the Trams and any materials (in which title ./ has passed to tie or CEC) available to the lnfraco for performance of its obligations.


Allocation

Private Sector

./

./

./

./

Allocation

Private Sector

./

./

./


Shared

Shared

CEC01430992_0008

Risk : Bonds, Guarantees and Collateral Warranties

SUBJECT TO RESOLUTION OF COMMERCIAL DISCUSSIONS

[74 .1] FailureNOTE· These discussions are based upon advanced drafts We have no reason to provide an adjudication performance eond for tl=le reciuired amountexpect that satisfactory close out cannot be achieved by late January 2008

(74 .6] Failure to provide a retention and l=landeack bond for tl=le reciuired amountPCG

~9 Downgrading of eond surety to A rating or eelow by Standard

& Poor's, subject to availability of bond at commercially reasonable oo&.--.8.orui

(74 .6] Failure to provide an lnfraco parent company guarantee in agreed form.Collateral Warranties

~40 Failure to provide an lnfraco collateral 'Narranty in favour of

CEC and Network Rail. guarantee

Risk : Deliverables

(10.1 ]44 Failure to prepare Deliverables in accordance with the lnfraco Contract and Programme~

(10.2] Failure to submit any Deliverables associated with any Permitted Variations to tie's Representative for review pursuant to the Review Procedure~

(10.3] Failure to allow tie's Representative reasonable opportunity to review any Deliverable at any stage of development.

(10.41-+0-:e] Failure to provide Deliverables in format required for tie extra net and in tt:le numeers reciuired l)y tiefailure to establishLroaintain such an extranet

(10.5L1 o 6] Failure to prepare a Submittal Programme which meets the Programme and submit sarne to tie and advise o( revisions

(10.6/10.7] Failure to comply with the Submittal Programme timescales

(10.7] Introduction of alternative Submittal Programme where tie cannot comply with the original programme (not arising from lnfraco default) to be treated as a tie ct:lange.

(10.8] Failure to give due consideration to tie or tie's Representative at a meeting called by tie or tie's Representative to discuss the development of a Deliverable and failure to submit a report detailing such discussions

(10.9]""2 Amendment to a Deliverable where such Deliverable does not meet the requirements of the lnfraco Contract.

9 SuajeGt te a•,ailallility er sureties ta fira•,iele susll 8aRe.

40 S1cilljeGt te review ef l'.sset PreteGtieR .".greemeRt l:.ly Raley.

~-i Raley reqlMl'iRg f1cii:tller review ar eietails 1ciReer Re\latee eeRtrasts!ii.Rs.


Allocation


,/

,/

,/

,/

Allocation


,/

,/

,/

,/

,/

,/

,/

,/

,/


CEC01430992_0009

Risk : Deliverables

[10.9]~ Amendment to a Deliverable where such Deliverable does not meet the requirements of any "Approval Bodies\

110 10) Failure to provide Deliverables in accordance with the lnfraco Contract

(10 11) Provision of further Deliverables as requested by tie

[10.12/10.13] Risks from conflicts, ambiguities, discrepancies, errors or omissions in or between Deliverables and proposing and carrying out resolution

(10 14) Failure to ensure the Deliverables comply with document control requirements

11 o 15/10.16) Establishment staffing and making available for tie's inspection of an office to store record of performance of the lnfraco Works drawings for construction all specifications au transactions entered into in relation to Permitted Variations and claims for additional costs or expenses

[54.4/54 5] Failure to ~write up maintain and store Technical Records in respect of Maintenance Services or in a format reasonably specified by tie,

[~54 6] Maintenance, security, bugs etc in relation to the lnfraco's computer systems and equipment

Risk : Novation and Other Key lnterfaces;4

[11.1] Failure of the lnfraco to execute the novation agreement--by-the SQS Prn1.•iEleF OF tRe IAfl:aGe.

[11.1 J Failure of tie to create the novation agreement and procure the execution of the same by sos Provider

[11.2.1] Failure of the lnfraco to procure and provide to tje a collateral warranty from the SOS f!Fe¥iEleFProvider

~45 J;ail1:1Fe ef tie te Eleli,..eF U1e SQS A!:)FeemeAt beUeF te Uie

WFaGe

[11.3] Failure to procure that the sos Provider carries out and completes the SOS Services.

[11.4] Management of the performance of the sos Services and resultant liability feF U1em.

[11.5] Amendment of the sos Agreement wiU:ie1;1t U1e Ge Ase At ef tie,

~ ,I\GGe~eEI s1,1bjeGt ta re•liew er ElraftiAg. 4a ,11,GGe~eEI s1,1tljeGt te review el ElraftiAg.

Public Sector

,I

,/

Public Sector

,I

../-

~

~ Si.itljeGt te Eli.ie EliligeAse tiy Raley eA Uie rele .. aAt agreeFAeAts.

~5 ..:sGS ,l\greeFAeAt better'' te Ile ElefiAeEI; ti'lis is ta GeAtaiA reYisieAs ta ti'le SOO SGepe pest Ae,•atieA.


Allocation

Private Sector

£.

,I

,I

Allocation

Private Sector

,I

,I

,I

,I

,I


Shared

Shared

CEC01430992_0010

Risk : Novation and Other Key lnterfaces~4 Allocation

Public Private Sector Sector

[11.6] Failure to procure the attendance of the SOS Provider at any ./

meeting in relation to the lnfraco Works.

[11.7] Failure to procure perfoanance of additional seNices required ./

from the SOS Provider following a request from tie.

[11 Zl Beguirement foe additional seolices fcom SDS ,/

[11.8]~ Tennination of the sos Agreement without the consent of tie . ./

[11.9Ja Failure, if required by tie, on tennination or expiry of the ./

lnfraco Contract to novate, assign or otherwise transfer the SOS Agreement to t ie, the Operator, the Scottish Ministers, TEL, CEC, Transport Scotland or their successors with no worse financial standing than tie or to any other person whose obligations are unconditionally guaranteed under the SOS Agreement by such a personl\

(11 9) failure to assist in obtaining a couatecal warranty from SDS ./ =

wbere nol{ation, assignation or otber transfer bas ta~!:rn place

[12.1] Failure to enter into a novation agreement with tie and the Tram ./

Supplier. NO+E: S1:1bjeGt to d1:1e diligeAGe by Roley OR fiAal +SA.

[12.2] Failure to procure that the Tram Supplier enters into a collateral ./

warranty in favour of t ie and to deliller same to tie

[12.3] Failure to procure that the Tram Supplier carries out and ./

completes the Tram Supply Obligations in accordance with the Tram Supply Agreement.

[12.4] Management of the performance of the Tram Supply ./

Obligations and cesultant liability fer U1em.

[12.5] Making amendmentAmendment to the Tram Supply Agreement ./ ./

(including the Tram Supply Obligations) without the prior approval of tie-.

[12.6] Failure to procure the attendance of the Tram Supplier at any ./

meeting in relation to the lnfraco Works

[12.7] Failure to use reasonable endeallours to procure supply of ./

additional Trams, spare parts and seNices following a request from tie~

[~49 9etermination of the appointment of the12 Z] Ibe reguirement ./ +

for additional Tram tie"2°Supply se(lljces

Supplier without the prior written approval of

[12 8-12 141 Ieanination of Iram Supplier or rectification of its ,/ ./ - -defectille perfoanance

[~12 15]~ Failure, if required by tie, on termination or expiry of the ./

lnfraco Contract to novate, assign or otherwise transfer the Tram

46 ReiAstatemeAt sulljeGt te review er Raley werEliA!J.

4-7- ReElrart ta allow lar IAlrasa A!JRl6 aA J)reseEleAt breash ta be retaiAeEI. Rema•,al el mark l,IJ) subjeGt ta 00. 48

Raley te J)FEl'JiEle warEliA!J flFeserviA!J its rigl:lls ler a flFeGeEleAt ereash 49

ReiAstatemeAt sulljeGt ta review el Raley werEliA!J. 20

SubjeGt ta Raley review aAEI subseEjueAt J)revisieA er werEliA!J te J)Fatest it wlleA Tramse iA mateAal ereash.

IO Workshare Professional comparison of interwoven Site:/ IEDIDMS/UKMA TTERS/15778923/1 and interwovenSite://EDIDMSIUKMATTERS/17021595/1. Performed on 14/12/2007.

Shared

CEC01430992_001 1

Risk : Novation and Other Key lnterfaces~4

Supply Agreement to tie, the Operator, the Scottish Ministers, TEL, CEC, Transport Scotland or their successors with no worse financial standing than tie or to any other person whose obligations are unconditionally guaranteed under the Tram Supply Agreement by such a person.

112 15) Failure to assist in obtaining a collateral warranty from Tram S.Upplier where novauon assignation or other transfer has taken ~ (13.1] Failure to enter into a novation agreement with tie and the Tram Maintainer.

(13.2] Failure to procure that the Tram Maintainer enters into a collateral warranty in favour of tie •

[13.3] Failure to procure that the Tram Maintainer carries out and completes the Tram Maintenance Services in accordance with the Tram Maintenance Agreement.

(13.4] Management of the performance of the Tram Maintenance services and resultant liability for them.

(13.5] Amendment of the Tram Maintenance Agreement without the prior written approval of tie,

(13.6] Failure to procure the attendance of the Tram Maintainer at any meeting in relation to the lnfraco Works.

(13.7] Failure to use reasonable endeavours to procure that the Tram Maintainer shall supply any additional spare parts and/or perform any additional services which are required by tie in respect of the ETN.

~ 2-:i Determination of the appointment of the Tram Maintainer without the prior written approval of tie

[~23 Failure, if required by tie, on termination or e:Xpiry of the

lnfraco Contract to novate, assign or otherwise transfer the13 8-13 16) Termination of Tram Supply Agreement to tie, the Operator, the Scottish Ministers, TEL, CEC, Transport Scotland or their successors with no worse financial standing than tie or to any other person whose obligations are unconditionally guaranteed under the Tram Supply Agreement by such a personMaintainer or rectification of its defective performance

r13 17) Failure if required by tie on termination or expiry of the lnfraco Contract to novate assign or otherwise transfer the Tram supply Agreement to tie the operator the Scottish Ministers TEL CEC Transport Scotland or their successors with no worse financial standing than tie or to any other person whose obligations are unconditionally guaranteed under the Tram supply Agreement by such a person

(4441317) Failure to enter into a sub contract with the lnfrastructure~rrir* in nht::iininn ::i r.nll::itP.r::il m .. v frnm Tr::im

Public Sector

../ =

../ -

Allocation

Private Shared Sector

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2-1.Reeraft te anew far IAfraee Fights eA preeeeeAt ereaGR te ee relaiAee. Remeval ef mark llf'I &llejeel le 00. ~ ReiAslalemeAt &llBjest le review ef Reley werEliAg. 23

Reley aeekiA9 reElraft te anew fer IAfrase ri9Rls eA preseaer:1t ereaeti te ee retaiAed. Remeual ar mark llf'I s1;1bj0Gt le 00.


CEC01430992_0012

Risk : Novation and Other Key lnterfaces~4

Maintainer where novation assignation or other transfer has taken ~

(14 .2] F=ailure to procure that the lnfrnstructure Maintainer enters into a collateral warranty in favour of tie

[44:-314 11 Failure to procure that the Infrastructure Maintainer camesm out and completescomplete the Infrastructure Maintenance Services.

(14 .4] Management of the performance of the Infrastructure Maintenance Services anEI liaBility for them

(14 .5] Amendment of the Infrastructure Maintenance Agreement (including the Infrastructure Maintenance Services) without the prior written approval of t ie

[44:e14 2) Failure to procure the attendanceensure sub-contract to a replacement maintainer is in the form of the lnfastr1:1cture Maintainer at any meeting in relation to the lnfraco IJV-0rkslMA 3

[14 .7] F=ailure to procure that the Infrastructure Maintainer shall perform any additional services 'Nhich are required By tie in respect of the ETt>J

f+4,8)24 Determination of the appointment of the lnfrastr1:1cture Maintainer without the prior written approval of tie

£44,-Qt25 F=ailure, if required By tie, on termination or e*piry of the lnfraco Contract to novate, assign or othePi,'ise transfer the Tram Supply Agreement to tie, the Operator, the Scottish Ministers, TEL, CEC, TraAsport Scotland or their successors with no worse financial standing than tie or to any other person whoso OBiigations are unconditionally guaranteed under the Tram Supply Agreement by such a person

[4§.4]~ Risks arising through the Roads Demarcation Agreement. NOTE: If this agreement is not settled prior to contract award, lnfraco will seek a tie change14 31 Failure if required by tie on termination or expiry of the lnfraco Contract to oovate assign or otherwise transfer the Tram Supply Agreement to tie the Scottish Ministers CEC or their successors with no worse financial standing than tie or to any other person whose obligations are unconditionally guaranteed under the Tram Supply Agreement by such a person.

[16.2)211 Risks arising through the Asset Protection Agreement. NOTE: If this agreement is not settled prior to contract award, lnfraco willfilgy seek a tie change.

!.liao.db.aciLb.onclar.rao em.enlsJ.o.Jle c.oofirm.e.d

Public Sector

Allocation


24 ReiRslatemeRl su9jest le review er Reley werlliRg.

25 Reley seekiRg rellra~ le allew rer IRfrase rigRts eR prooeaeRt ereasl:l le ee retaiRea. Reme•1al er mark up su9jest te 00.

2o Releyresiti9R reserve(l peRSiRg sue lliligeRGe. 27 ~ BBS position reserved pending due diligence.


CEC01430992_0013

Risk : Operator Interface

[17 .2~]2a Occurrence and costs to the Infra co of an Operator Event whiffito the extent the lnfraco has not materially contributed to, anEI has su~reEI a material aElveFSe imJ')act such event

[17.3/17.4/17.7] Failure to mitigate (at reasonable inconvenience and cost), notify tie of or maintain reports of an Operator Event or matters which may precede an Operator Event.

(17 SJ Arranging meeting and obtaining operator's cooperation with agreed corrective measures following an Operator Event

[17.8Jw Failure to, from the date of the Agreement, take into account comments of the Operator when refining Design and failure to deliver lnfraco comments on functional and maintainability issues to tie and the oJ')eratorOperator

[17.9]30 Obstruction of the Operator in respect the Operator Maintenance Plan and Maintenance Services .

[17.9134- Obstruction by the Operator of the lnfraco in respect of the Maintenance Services,

[17.10] Failure to act uponobserve the Operator's Representative's instructions,

[17.11-13] Failure to notify and co-operate with tie and the oJ')ei=ator of requirements for Operator Maiffie.Aance anEI failure to co OJ')ei=ate in the planning anEI execution of anyand minimise the adverse consequences of Operator Maintenance, Maintenance Services and any planned or unplanned works or activities including support in providing alternative transport and notifying passengers (47,-46) DPOF-A Changes

[17 14-17.17] Failure to comment provide a report on and carry out modifications as a result of a DPOFA Change ResJ')onse when require El by tie,

(17 18 11 Failure to provide a representative for the Project Safety Certification Committee

[17.18.1.1171821/51.2] Failure to liaise with the Independent Competent Person HMRI and the emergency servicesEmergency services

[17.Hl.1.217 18 2 2] Failure to develop and implement the lnfraco Safety Management System.

[17.20/17.21] Failure to complete safety and service readiness verification each morning to the satisfaction ofand to certify this to tie .and. the Operator,

[17.22]3i Failure to liaise effectively with the Operator in the coordination of health and safety issues at the Depot,

2a Reley pesitieA FeseFvee peAEIIAg Ellle EliligeAGe. 29 Te Ile GlaFiliee EluFiRg E11,1e eiligeRGe.

Allocation


ao tie ta talk will'! AR eR tl'lis slause te slarif.y l'lis pesitieR. 3-1 Reley req1,1ires clarilisatieR eA which paFts ef the Enl are le be maiAtaiReEI by the OperateF. 32

Raley resewes iiesitieA peReiAg llAElerstaReiRS ef Oepet.


CEC01430992_0014

Risk : Operator Interface Allocation


(17.23) Failure to give the Operator and tie a minimum of one month's ./

notice of any planned lifecycle maintenance forming part of the Maintenance Services to be carried out on any part of the ETN.

(17.24) Failure to provide tie and the Operator with a combined maintenance plan not less than 6 months prior to the Planned Service Commencement Date, subject to supply to the lnfraco of the Operator Maintenance Plan ~12 months prior to the Planned Service Commencement Date.

(17.25~17 27)33 Failure to provide technical advice and ./

information to the Operator during normal working hours; failure to provide reasonable works/site access to Operator and tie; interference with Operator mobilisation.

[17.27/17.28] Interference with lnfraco while on Site· failure to comply ./

with safety procedures on site; damage to the lnfraco Works caused by the Operator or tie (unless fair wear and tear or due to operations in accordance with the Qperations and Maintenance Manual)

(17.29] Failure to work closely and effectively with the Operator to ./

complete the System Acceptance Tests and related obligations on testing and commissioning.

(17.31] Failure of the lnfraco to work collaboratively with the Operator and failure of the Operator to work collaboratively with the lnfraco to:

• (17.31.1] maximise productivity during the lnfraco Works and ./ £. -minimise disruption for the public and third parties~

• [17.31.2] ensure the delivery of complete system integration; ./ ./ =

• [1 7 3 3J satisfy le~els of technical systems a~ailabiiity·

• (17.31.4] minimise and give the best advance notice of ./ ./

interruption to Transport Services~

• (17.31.5] not hinder proper performance of the Project ./ ./ - -Development Services, Project Operations and obligations under the lnfraco Contract~

• (17.31.6] support adherence to timetables and the ./ ./ = = Programme ;

• (17.31.7) report promptly any proposed change permitted ./ ./ =

under the DPOFA or the Infra co Contract and related mitigation;

• (17.31.8] use reasonable endeavours to minimise likelihood of ./ ~ = interface disputes,

[1 7 32J Claims against tie by the Qperator pursuant to OeQEA due to ./

lnfraco delay in performance of its obligations

33 ~ meGRaRism fer additiaRal R9i.JF6 la ae diSGYssed.

14 Workshare Professional comparison of interwoven Site:/ IEDIDMS/UKMA TTERS/15778923/1 and interwovenSite://EDIDMSIUKMATTERS/1 7021595/1. Performed on 14/12/2007.

Shared

./

+

+

+

+

+

+

+

CEC01430992_0015

Risk : Land Issues and Consents34

[18.1/18.20]35 Failure to provide wpropriate licence 10 enter land -and the necessary Land Consents to enter and remain upon the Permanent Land

[18.2] Encroachment design or construction of ETN on ~land outside of the Permanent Land and Temporary Sites without the consent of tie

[18.3/18.6/18.17] Breach of a Land Consent efdue to breach of the agreement or wilful act or omission or the use of Temporary Sites outside that specified in the Acts.

[18.4] Failure to give tie not less than 40 days' notice where access is required to any Temporary Site for the purposes of carrying out the lnfraco Works.

[18.5~] Failure to provide access to the Temporary Sites following 40 days' notice having been given by the lnfraco.

[18.7/18.8)37-5 Failure to minimise period of possession of Temporary Site, or failure to quit occupation of such Temporary Site after 28 days (3 months where a Site Office has been established) following the completion of the lnfraco Works to such Temporary Site.

[18.9] Failure to give notice of the vacation of a Temporary Site.

[18.10] Failure to remove all temporary works from a Temporary Site and restore the land to the reasonable satisfaction of the land owner.

[18.10.1] Demolition of a building or any part thereof without the consent of tie •

[18.10.2] Failure to provide tie with sufficient evidence (including a detailed record of the condition of the land both before and after the occupation of the Temporary Site) to show that restoration obligations have been complied with •

(18 11 J Possession to be in accordance with the Third Party Agreements

[18.12] Failure to provide notice of temporary possession for maintenance purposes, excluding where any Building Fixing Agreement contains a right for the lnfraco to enter onto any land.

[18.13] TemporaryFailure to give possession of land for maintenance purposes under section 27(1) of the Tram Acts.

[18.14.1 J Breach of requirement to be less than 20m away from lnfraco Works~

[18.14.2] Breach of reasonable requirements in connection with maintenance.

Public Sector

Allocation


34 GaRseRt EleliRitiaR ta ee split iRta tie CaRseAts a REI IRfrasa C aRseRts aREI risk allasatiaR ar Cla1,1se 1 Q ta ee apprapriately

~ e)(paRElea ta allaw rar exslwsivity. 36 "baRd Consents" meaRs all liseRses ta ass1,1py laAEI, waylea•o'es, aAEI aAy att:ler liseAses, pern:iissians, Fi§Rts af assess aAEI relates saAsents iA res pest af tt:ie lane re"!lclireEI far tt:le IRfrasa Warks; 3~ tie to revert after checking with Land Team.


CEC01430992_0016

Risk : Land Issues and Consents34 Allocation


(Hl .H.3J Breach ef reqi,,iremeAt te aveie J30ssessien ef hei,,ses er + gareeAS

(18.14.3] Breach of requirement to avoid possession Of 9CC1,1J3iee ../

e1,1ileiAgsbouses oc gardens

[18 H3J Breacb of ceguirernent to a~oid ~ossession Of OCCU~ied :!_ buildings

(18.15/18.21] Provision of additional access land, dgbts facilities ./ ./ =

and/or Land Consents which are required by the lnfraco outside the Permanent and Temporary Land,

(18.16] Failure to use reasonable endeavours to provide assistance to ./

t ie in the provision and amendment of Land Consents,

(18.19] Breach of obligations under Schedule 13 (Third Party ./

Agreements).2 NOTE: any Third Party Agreements disclosed post Award will~ be treated as a tie change.

[18 22-18 24J Eailure to obtain access to laod ceguiced for :!_ :!_ 8ccornrnodation Works

(19.1 ]38:?; ~QIE· CL8USE IQ BE 8EWQB~ED FOLLOWING 8G8EEME~I Q~ BIS~ 8LLQC8IIQ~ EQB CQ~SE~IS

Failure to obtain, maintain and implement all Consents which may be required to carry out and complete the lnfraco Works. NOTE: drafting currently places consent risk with tie, not lnfraco.

(19.2] Failure to provide copies of Consents to either Party's Representative

[19.4] Cost of obtaining and maintaining in effect the Traffic ../

Regulation Orders

[19.5] Failure to provide reasonable assistance to t ie in obtaining and ../

maintaining in effect the Traffic Regulation Orders

[19.6] Failure to update the Consents Programme by each Reporting Period End Date and to obtain any new Consents

[19.9] Failure to give all notices and pay all fees required to be given or paid by Law in relation to the lnfraco Works

[19.10-19.12]39§ Failure to comply with Special Requirements of any Approval Bodies affected bj the notified the lnfraco of these40

-

lnfraco Works, provided tie has

[Hl HJ Eailuce to use reasonable endea~ours to obtain written ../

cooseot of adjoining or neigbbouring landowners witb regard to iotect:eceoce witb tbeic dgbts

[20.1 ]44 ~QIE· SUBJECI IQ 8G8EEME~I Q~ BEAs ./

6 Not agre.e..d..,s,µbject to commercial discussions as to what is included in this obligati.On..

33Z Consents responsibility le be SJllil aAd Fisk le be agFeed aAd s1a1b slauses te be FeiAseFiecatuncleL.discussion. 39§ Special requirements schedule required. 40!! Costs of compliance with Special Requirements are borne by t ie as a tie change.


Shared

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./

./

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CEC01430992_0017



Failure to submit the Proposals4i to t ie at least 6 months prior to the

date on which the lnfraco proposes to install, maintain, modify or replace any relevant supporting infrastructure and to obtain tie's consent to the Proposals

(20.1.2] Failure to submit the necessary applications and obtain ./

necessary Consents

[20.2/20.4] Failure to submit revised proposals ./

(20.3] t ie to obtain Consents and Building Fixing Agreements ./

(20.5] Where a building fixing agreement is to be used, securing the ./

consent of the Heritable Proprietor and any other relevant party to allow the lnfraco to carry out a survey and securing the agreement of the Heritable Proprietor to allow the setting of such building fixings (both at lnfraco cost)

(20.6] Failure to inform the lnfraco of failure to obtain the consent of ./

the relevant Heritable Proprietor

[20.7] Where necessary due to the Heritable Proprietor withholding its ./

consent to building fixings, the responsibility for and cost of the procedure of application to the sheriff pursuant to the Acts or submittal of alternative plans

(20.8] Failure by tie to respond within 10 days stating its preferred ./

method for supporting the OLE

(20.9] Failure to procure that CEC uses all reasonable endeavours to ./

assist the lnfraco in the procedure for application to the sheriff pursuant to the Acts43.W

(20.9.1 J Rejection of application by sheriff, revised proposals are an ./

lnfraco change

(20.9.2] lfthe Section 16(4) route not used, then tie change ./

(20.11] This provision conflicts with Clause 20.3 ?

(20.12] Cost of removal of a building fixing and installation of OLE ./

pole

(20.13] Selection of method for supporting OEL where building cannot ./

support the loadings of a building fixing

(21.4] Failure to obtain any street works licence, road opening permit ./

and any other consent, licence or permission (other than any Land Consents) that may be required for the lnfraco Works,

# SubjeGt ta due EliligeAGe. 42

"Prepesals" meaAs, iA relatieA ta easll sestiE>R ar Ole fermiAg flaFt ef !Re EdiAti1c1rgll Tram ~letwerk, tile IAfrase's pF9fl9Sals fer U1e ty13e af su1313artiA9 iAfrastructure le tie iAslalleEI iA relaliaA U1eret0, tagetller witll aAy iAfarmatieR ar ElooumeAlatiaA \'ll:licti weulel tie reaseAatily required tiy t ie iA eraer te preperly evaluate susll pFE>fl9Sals 43

,lQ Note that although tie shall procure that CEC offers such assistance, this will be at lnfraco's cost


CEC01430992_001 8



[21.5] Failure to give notice to a relevant authority of its proposal to ./

commence any work and failure to pm~ide assistance to tie to reco~er contributions from the utilities

-[2:1 6] Ihicd eacty Works beiaq carried out by a utilit:¥ roads authocit:,: ./

or aa authorised third party

[22.1 ]44 Adverse physical conditions and artificial obstructions. subject ./

to information being provided<!§.

[22.5] ReaseAaele extFa Gests, ee+, s1:1sl:)eAsieA aAElleF a vaFiatieA iA ./

eealiA(;l •,vitR 1:1Ae*l:)leEleEl eF€1AaAGe,Disco~ery Qf unidentified utility apparatus, 1:1AiEleAti~eEl_ru contaminated land whicb could not ha~e bee a ceasoaably fQreseea or 1:1Afereseeaele gro1:1Ad GOAGitiOAS (witR BaGk(;lFGl:IAG IAfem:iatieA as easeliAe ef fereseeaeility}unexploded ocdaaace

[22 SJ Disco~ery of uaideatified utility a1212acatus or c'.Oatamiaated laad ./

which could ha~e been reasonably foreseen or unex12loded ordnance

[23] Failure to provide t ie and tie's Representative and any person ./ authorised by t ie or tie's Representative with access upon reasonable prior notice to any site, workshop or facility etc during normal working hours=

(231 Failure to comQIY with rules and regulations when on such sites ./ =

[2424 :1124 2)46 Failure to execute the Depot Licence and comply with ./

the terms thereof.

(24 41 Condition or fitness foe 12ucpose of the Depot ./

[24.Sl Liabili1¥ tor death injury damage to property Q[ any other ./ -liabilit:,: cesultiaq from use of the De12ot

[246] DiscuQtioo of the lnfcaco's performance by tie accessing the ./

~

Risk : Sub-Cont racting and Personnel Allocation


[28.2/28 3] Sub-contracting of part of the lnfraco Works without tie's ./

consent except in respect of truLSDS Provider. Tram Supplier. Tram Maintainer, tl'le IAfrastr1:1Gt1:1re MaiAtaiAer and any approved sub-contractor and/or trades and failure to pm~ide information lo enable tie lo make a decision

[28.4]47- Failure to incorporate required contract terms into ./

subcontracts to be entered into by agreed "Key Sub-Contractors"_ru

44 SuejeGt te tt:le pre•1isieA ef iAfern~atieA.

45 Save iA respest ef 11AilileAtiliea lltilities, GeAtamiAatea laAEI er 11Aell~raiAaAse aAa aAy gr-&uAlil G9AlilitieA Aet fereseeaole

frem tt:le BaskgreuAa IAferffialiGA., 46

S11oj0Gt te aue ailigeAse eA tt:le Oepet liseAse by Reley.


CEC01430992_0019

Risk : Sub-Contracting and Personnel Allocation


wbece tbe teems of tbe subcootcaci would cesult ia tbe lofraco not being able to 12erfo([Il its obligations

[28.5] Failure to provide such skilled technical assistants and labour ,/

as required for execution of the lnfraco Works,

[28.6] Reme• .. alMisconduct incom12etence negligence Q[ non- ,/

QQffiQliance witb safet~ 12cecautions of any employee of the lnfraco and/or a Sub-Contractor wt:le misseAEl1:1Gts t:limself eF is iAsem~eleAl,

[28.7]48 Failure to use reasonable endeavours to provide Key Sub- ,/

Contractor collateral warranties to tie in favour of tie and/or in favour of CEC BAA TEL and Network Rail (any other party must be identified prior to Award).

[28.8] Failure to use reasonable endeavours to procure that any Sub- ,/

Contractor shall within 40 business days of any reasonable request by tie provide to tie a collateral warranty,

[28.9] Failure in performance by Sub-Contractors. ,/

Risk : Performance of the Works Allocation


[25.1] Failure to observe the reasonable instructions of tie's ,/

Representative,

[25 1 and 25.7] Failure to monitoc tbe lnfcaco Wocls.s and failuce to ./ inform lnfraco of the identity of tie's Representative.

[26] Acts or omissions of the lnfraco's Representative. ,/

[26.1] Failure to provide sufficient superintendence to the Infra co ,/

Works.

[26.2/26.5/26.7] Failure to obtain/retain tie's approval of the lnfraco's ,/

Representative or his deputy,

[26 3] SuQe!YiSiQn management and coocdinatioo Qf tbe lnfcaco ,/

Wocls.s to ensure com12letion of tbe lnfcaco Wocls.s

[26 8J Be12laQement of tbe lnfcaQo's Be12resentative ,/

[26 9/26.1 OJ Failure to provide sufficient staff and involve the Key ,/

Personnel in tbe lnfcaQQ Wocls.s

[26.12] Failure to ensure that there are no changes to the Key ,/

Personnel without tie's prior written consent and that any replacement persons shall be of at least equivalent status an ability to the person whom they replace.

[26.13] Failure to use all reasonable endeavours to ensure the ,/

continuity of the personnel assigned to perform the lnfraco Works and to carefully select Key Personnel havinQ careful regard to their

41 Te deliRe Key SYB CeRti:aGt9F6. Raley de R9t a!jFee te tile aJ3J3F9Val ef aRy Sll9 CeRIFaGt6 Beyene SDS, TSA, TMA ano IMA.

48 Raley seek6 te finalise fellewiR!I oeliR~ien ef Key S1,10 CeAlrasteF6. ~IR asGeJlleEI suejest te APA review.


CEC01430992_0020

Risk : Performance of the Works Allocation

Public Private Shared

existing work load and other planned commitments,

(26.14) Failure to ensure that Key Personnel have the requisite level of skill, experience and authority and receive the necessary amount of training and supervision

[26.16) Contracting of or retention of as an adviser or consultant any person currently or previously employed or engaged in the previous 3 months by tie without the prior written approval by tie,

(26.17) Failure of Key Personnel and other staff to comply with regulatory requirements, and tie 's drug and alcohol policy,

(26.18] Allowing the consumption of, or work of under, the influence of alcohol or drugs or the giving, selling or bartering of the same,

(27.1 ] Failure to employ careful, skilled and experienced staff or site supervisors with CSCS (or equivalent) certification,

(27.2] The removalMisconduct incompetence negligence or noncompliance with safety precautions of any person employed on the lnfraco Works who, in the opinion of tie's Representative, misconducts himself or is incompetent or negligent,

Risk : Construction49

[29.1 and 29 2] Errors in the position, levels, dimensions or alignment of any setting out of the lnfraco Works during progress of lnfraco Works,

[30.1] Failure to have full regard to safety of all persons entitled to be on Site and to keep the Site in an orderly state to avoid danger to such persons.

(30.2] Failure to provide required lights, guards, fencing etc,

(30.3] Failure to comply and use reasonable endeavours to ensure others comply with health and safety legislation and requirements.

~50 Failure to undertake instruction and training and pro•1ide and

issue passes fer admission to the Site

~ .&1 Failure to provide a list of the names of all workers requiring passes together •A<ith two photegraphs

f3Q.QJ Failure to ensure that the lnfraco PaFties are confined enly to that portion of the Site necessary to enable them to carry out the lnfraco i.o.iorks

f3Q.rnJ Failure to keep the Site secure

Sector Sector

Allocation


./

,/

,/

,/

+

+

+

+

49 Reley wislles te eissuss tile f)rastisal asf)ests ef GBFRflliaRse i.vitll slauses 30.5 30.0. 50 Assef)taele suejest te eefiRitieR ef "OesigRatee Werk Area".

M Reley wisl:les te eissuss tf:le prastisal asf)eGtG af semf)liaRGe witll sla1,1ses :lQ.5 30.0 f)est P8.


Shared

CEC01430992_0021

Risk : Construction49

Publ ic Sector

f3{U~j l=ail1:1Fe te take FeaseAaele steps te pFe\'eAt 1:1Aa1:1therised peFSeAs eeiA§ admitted te the Site

[31.1 and 31 2f•2 Failure to take full responsibility for the care of the lnfraco Works from the Effective Date until, in relation to each Section, the date of issue of a Certificate of Sectional Completion in relation to that section including cectification foe loss oc damage

[32.1] Failure to comply with Feq1:1iFemeAts iA Schedule a ~Code of Construction Practice and Code of Maintenance Practice) as te rnga(ding maintenance of access to properties, bus stops and bus services and the closure of roads,

[32.2] Failure te cemply with F0q1:1iremeAts iA Sched1:1le a (Gede ef Gensfroctien Practice and Gede et Maintenance Practice) a Ad to minimise nuisance, inconvenience or interference to the business or operations of the owners, tenants of 12rn12ecties on oc in tbe locality of ttle Site, bus operators and to the public generally and failuce to cQmQly wittl ttle Code Qf Constcuction eractice and Code Qf Maintenance eractice in ttlis rnga(d

~ 53 l=ail1:1F0 ta 1:159 reaseAaele eAdea•1a1:1rs ta aetaiA WFitteA + GGfl.SeAt ef adjeiAiA§ 9F Aei§h991:1FiA§ laAdElwAeFS with FegaFd te iAterfereAce with their Fi§hts

[33.1] Failure to use reasonable means to prevent damage from ~roads oc bcidges being subjected to extraordinary traffic" Felated to~ the e+NJ.nfr.a@.

[33.1 J Failure to select routes and use vehicles to as far as possible avoid unnecessary damage to roads and bridges.

[33.2]54 Strengthening bridges or altering or improving any highway connecting with the Site to facilitate installation of the Trams, the lnfraco's Equipment or Temporary Works,

[33.2 and 33.3] Claims for damage to highways or bridges caused by ttle installation oficams lnfraco's Egui12rnent ociem12ora~ Wocks

[34.1] Failure to construct and complete th.e_lnfraco WGFksWQ.cks in strict accordance with the Agreement and in strict accoFdaAcecornQliance with tie's instructions,

[34.2] Failure te--M,epQf.Jhe materials, lnfraco's eq1:1ipmeAtEgui12ment. labour, mode and manner of construction ~in accordance with the lnfraco Contract,

[34.3] Time and cost (Compensation Event) if tie's instructions result ../

in any delay or disruption or cost to the lnfraco unless ttley rnsult from ttle lnfraco's default

[39] Discovery of Fossils and Antiquities (including historical human ../

remains) on Site,

52 Risk traAsfer aAEI l:laAEle>Jer details rettulreEI ; tl:lis ElralliAg G9AlliGts witl:I Gere IAfraGe respeAsibililies.

53 SubjeGt ta GlaFiliGatien ef Gia use 1 Q anEI lane risk issues 64

l!iilJbjest ta Elue eiligense er Trarnse


Allocation

Private Sector

+

../

../

../

../

../

../

../

../

../


Shared

CEC01430992_0022

Risk: Maintenance

Failure to carry out all maintenance, repair renewals and remedial works to the ETN as is necessary to:

• [52.1.1 J Maintainmaintain the ETN in accordance with the Maintenance Programme and the Maintenance Plan;

• (52.1.2) ~fill.S.W:e that the requirements of the Maintenance Specifications are met at all times;

• (52.1.3)55-Gefflf*Y comply with the Operator Procedures~

• (52 1 4l ensure tbat tie is informed of any advecse impact of design redesign or modification to tbe lnfcaco Works·

• [52.1.5) ~ensure that no maintenance or repair work shall prejudice to the Care for Safety~

• (52 1 6l not prejudiQe tbe bealtb or safety of or unreasonably interfere witb tbe duties of tbe Qpecatoc and tbicd parties or expose tie liability under bealtb and safety legislation·

• [52 1 Zl maximise tbe extent to wbiQb tbe Eil':ll is available and to minimise interruption to availability·

• [52 1 8J sustain tbe functionality of tbe component pacts of tbe Eil':ll foe not less tban tbe design life·

• [52.1.9) l=laMhand. back &f.-the ETN in a condition consistent with the lnfraco having complied with Clause 52 (Maintenance) provided that: 1) the lnfraco will not be in breach because ofsave tor fair wear and tear or the expiry of working life, ans ~) this cla1:1se im13oses no eeli€)ations on the lnfFaco to caF~' 01:1t any G13eFatoF Maintenanse.

[52.2/52.3) Failure to work with Operator in respect of daily handover; comments and cl:iecklistbandback

fa24}56 Faih:1Fe to s1:113130Ft, assist an€1 co 013erate witR tie F2afties as tie may Feasonably FeEJl:liFe from time to time

[52.5)~ Failure to carry out Mobilisation Services on or before the appropriate Mobilisation Milestone Dates.

[52.6) Safety an€1 efficiency ofEailuce to Qa~ out the Maintenance Services, so that the e+N is ca13able of bein€J 013eFate€1 in a safe an€1 efficient manneF safely and efficiently and free of any reasonably avoidable risk of pollution, nuisance, interference or hazard,

[52 ZJ Eailuce to employ and train all staff necessa~ to perform tbe Maintenance Secvices in accordance witb tbe lnfcaco Contract

[~52 8lu Failure to provide and employ an€1 train all staff necessary to perform the MaintenanceMobilisation Services in accordance with the lnfraco Contract .

55 PasitiaA reservea 1.!Alil 013eralar Prasea1.1res l!a,'e eeeA re'liewea.

56 OeligallaA ta ee slarifiea

~ MabilisaliaA Servises la be aefiAea .

.12..o.lluaatioflJo_b~.ciarifi.esi 22 Workshare Professional comparison of

Allocation


,/

,/

,/

::::.

,/

;£,

,/

~

,/

,/

+

,/

,/

,/

,/


Shared

CEC01430992_0023

Risk: Maintenance

~58 J;aill,lFe te 13Fe,.,iee aREI eR=113ley all staff Resessai:y te 13eff:eF1=R

t1=1e MeeilisalieR Se1¥ises iR asseFElaRse wiU1 the IAfFase GeRlFasl

(52.9] Failure to supply only new materials and goods (save where tgeii: ha:i£e been ceQaired in accoruarn:;e with Good lndust!:l( ecactice) of a satisfacio!:l( gualit:t

[52.10-~5211]59 The provision of all Spare Parts and Special Tools required for the Maintenance Services (including the provision of valid calibration certificates) and wllich meet tt1e technical and safet:t reguirements of the Maintenance SQecification

[52 14J Eailure to maintain adeguate stocks for the Minimum SQare eacts eool at the CleQot manage reorders and lead times and ce:i£iew of tile le:i£el of Minimum SQare eacts eool

(52.14] Review and :i£adation of the level-4-Minimum Spare Parts Pool

fa2.14J ¥afialieA eflhe MiRifflljffl S13are Pafts Pee100

[52.15] Effecting repairs of all defects in , failures or damage to the ETN irrespective of cause excluding the Eree Issue Eare Collection EguiQment causing minimum discuQtion to the EI~.

[52.16] Cost of repairs referred to iflfil 52.15 above to the extent that any damage to the ETN is caused by: 1) a breach of the lnfraco Contract by lnfraco or 2) any negligent act or omission by the lnfraco or any lnfraco Party,

(52.17]~ Cost of ~reQairs referred to at 52 15 abo:i£e to the extent that any damage to the ETN is NG+not caused by~ 1) a breach of the lnfraco Contract by lnfraco or 2) any negligent act or omission by the lnfraco or any lnfraco Party,

[52 181 Eailure to reQair or reQlace the EI~ to a condition which meets the reguirements of the Maintenance SQecification

(52.19] Temporary Repairs and obtaining ~ approvals theFeafteF,

[52.20/52.21] Failure to provide assistance, information and advice to tie and the Operator which is reasonably required in the case of incidents or failures affecting the ETN and reporting thereon62

•

[52 22] Eailure to have comQetent resources available to car!:l!: out tile reQairs at the site of tile failure where this is the most efficient manner of dealing with tile failure

[52.23] Failure to report and propose a solution to defects where rectification falls within the scope of the Infrastructure Maintenance Services in the ETN which may prejudice safety or reliable operation of the ETN63

•

58 -GbligaliaA ta l:le Glarilieo. 59

intenlian la l:le slarilieEI.

Public Sector

../ -+

../

00 VarialiaA la Ille MIAiFRIIFA Spare Paris Paal st:lall l:le lrealeEI as a tie Ct:laA!Je.

6~Raley prapases ta Ra\•e a Jlre 3JlJlraveEI lat ef pr:ises tar slanElars repairs.

62 IA!f:asa san resa\•er ils sests wt:lere tile insiElenl ar fail11re was nel E111e ta ils ne!Jli!Jense er eFAissien

63 Casis allasateEI in assersanse witR Gla11ses 52.16~2.17.


Allocation

Private Sector

+

../

../

../

../

../

../

../

../

../

../

interwoven Site:/ IEDIDMS/UKMA TTERS/15778923/1 and interwovenSite://EDIDMSIUKMATTERS/1 7021595/1. Performed on 14/12/2007.

Shared

+

CEC01430992_0024

Risk: Maintenance

[52.24] Failure to provide additional systems availability requested by tie fol lowing lnfraco's confirmation of its ability to so provide 12

[52.25] Failure to keep up to date and supply a maintenance manual, electronically and free of charge, to tie's representative.

(52 26J Eailuce to Qrnvide aod maintain the Control Boom 13

[53]64 Use, handling removal and disposal of Hazardous Materials and lseeQing an UQ to date register of same

[54]65 Maintenance of Technical Records and Computer Systems_.

Risk : Quality, Testing and Examination

[35.1] Eailure of the materials and woclsmanshiQ to be as described in the lnfraco Contract Testing and examination of the quality, weight or quantity of any materials used before use in the lnfraco Works,

[35.2] Costs of and SUQQIY of samples.

[35.3/41.2/44.2/47.2]66 Costs of any specified tests (additional tests will be a tie change) •

(35 41 Costs of tests not identified in the lnfraco Contract but requested by tie

[36.1] Failure to give 48 hours notice to allow examination of work prior to covering up,

[36.2] Cost of uncovering where lnfraco Works are found to be in accordance with Agreement.

[36.2] Cost of uncovering where lnfraco Works are found not to be in accordance with Agreement.

[37 .1] Unsatisfactory workBemoval and reQlacement of unsatisfactory woclsmanshiQ or materials.

[37.5] Costs of opening up and testing for unsatisfactory work and materials following repeat offencesceQeated non-comQliance.

[38.3] Urgent repairs carried out by tie which the lnfraco was liable to carry out at its own exQense under the Agreement and which in the opinion of tie's Representative, acting reasonably, gives rise tois -------,rv I'\\/ rP<1c:nn nf PmPrnPnr.v nr an immediate threat to health

12 Discussions as to paymen\ of additional availabil~y onggmg.

13 SubjecU.Q_BBS conficmation of ~s obligatilllls

64 MainleAaRGe ef Ha2arE1e.is Materials RegiGter le he GlarilieEI.

65 Tttis is s.illjeGt te a re>,<ievl ef ttte MaiRleAaRGe ServiGes CeAAeGtiAg AgreemeAI 66

PriAGiple agreed, ElraftiRg te be liAaliGeEI.


Allocation


./

./

./

./

./

Allocation


./

./

./

./ -

./

./

./

./

./

./

interwoven Site:/ IEDIDMS/UKMA TTERS/15778923/1 and interwovenSite://EDIDMSIUKMATTERS/1 7021595/1. Performed on 14/12/2007.

Shared

Shared

CEC01430992_0025

Risk : Quality, Testing and Examination Allocation


and safety,

(38.4] Urgent repairs carried out by the lnfraco (except to the extent ../

such work results from lnfraco's default),

(40] €ffef.6Beciificatioo of ecrncs or omissions in the lnfraco Works, ../

[4l aod 42] CornQletioo aod Cectificatioo of Milestooes ./ ../

[~67- GOFflJ:)liaRGe43l 8QQoiotrneot of Icarn lnsoector aod ../ ../

comQliaoce with obligations in the Tram Inspector Agreement_anct cooQecatioo cegacdiog celated matters

(43.1 OJ Costs of appointment and services of the Tram Inspector. ../

(44.1/45.1/47.1] Failure to inspect the lnfraco works on the dates ../

specified.

[44 2MS 2L4Z 2] Costs of tests iocludiog oecessa!}: ceQetitioos ../

[44 3MS 3M6 M4Z 31 Eailuce to issue certificates oo comQletioo of ,:£ w.ruk.s...

[44MSM6MZJ Eailuce to cornQlete woclss io accocdaoce witb tbe lofcaco ../

Cootract

[46.2]68 Carrying out aod cornQletioo of Snagging List works. ../

[47.2/47.4] Failure to complete TS and to satisfy tie that TS is ../

complete and that a Network Certifisate/Reliability Certificate should be issued,.

[48] Tests, surveys, trials or searches at tie's request where the ../

defect or fault is one for which the lnfraco is NG+llilt liable under the Agreement.

(48] Tests, surveys, trials or searches at tie's request where the ../

defect or fault is one for which the lnfraco is liable under the Agreement,

(55.3] Costs associated with surveys and audits which do not show ../

non-compliance by the lnfraco.

[SS 3] Eailuce to use ceasooable eodea::.£oucs to mioirnise discui:1tioo to ./

tbe QCOllisioo of tbe Maioteoaoce SeC:i£ices wbeo cac~iog out a suC:i£e~ oc audit

(55.4] Costs associated with surveys and audits which show a ../

material non-compliance by the lnfraco.

(55.5/55.6] Failure to ~cany out cectificatioo in agreed ../

f:)efiootimescales aod to tbe ceguiced staodacd

(56.1 ]69 Failure to comply with Schedule 6 Maintenance Payment ../

Regime iR F0SJ:)0Gt of J:)erfoi:maAGe rAOAitOAA!iJ,

6' PeAsiRg Sile ailigeRse eR Tram IAspester AgreemeRt

68 SRaggiAg pratasel, time lim~ aAs leAg leas time te be agrees. 69

S1J~est te re¥iew ef mainteRanee sewises meeting agreemeAt witl=I Raley-,


Shared

CEC01430992_0026

Risk : Quality, Testing and Examination

[56 21 Eailuce to QCO~ide ceguiced Qecsoooel foe Maioteoaoce Se~ices 1;1ertocmaoce meetiogs

[56.3-56.5] Failure to submit Service Quality Reports, Annual Service Reports and Self-Monitoring Plans <aod failuce to comply with such ~at the required times.

(56.6] Failure to iofQCID t ie where the Maioteoaoce Se~ices ba~e oot beeo deli~eced aod failuce to assist t ie in f0S~0Gt efiOSQflCtiOg aod obse~iog the monitoring procedures.

[56.8] IAsFeasesQosts of aod cooductiog of iocreased monitoring as a result of Underperformance Warning Notices being issued.

(105.1.2] Failure to operate a quality management system in accordance with BS EN 4-SJ.SO 9001 :20002000.

Risk : Programme

(60.1/60.9/62.1]70 Failure to progress Infra co Works with due expedition and in a timely and efficient manner in accordance with the Programme and to mitigate any delays.

(60.4] Deemed acceptance of a revised programme due to failure by tie's Representative to accept, reject or request further information within 10 Business Days in respect of revised programmes proposed by the lnfraco.

[60.2/60 3/60.5/60.7] Failure to update submit chaoges to and t-0 provide further information in respect of the revised programme proposed by lnfraco.

[6jJ 8ccelecatioo of QCOQCeSS to achie~e Elaooed Sectiooal Qompletioo Dates

[6jJ Qost io accelecatiog pcogcess where tie reguires ao eacliec comQletioo date oc whece thece has beeo sto1212ages Qre~eotiog com1;1letioo io time foe the Elaooed Sectiooal Qom1;1letioo Date

(~] Late completion of any Section resulting in LADs NO+E: Levels of LADs are not yet agreed. Draft ing of clause com~leted yet.

[~~74

· Failure to deliver a Tram to the Depot Delivery Oaten .

[62.11] Tram exceeding Maximum Tram Weight.

,-0 SuejeGt te re•1iew el MUDFI\ pregramme lly ~eley. 74

IRteRtieR te Ile Gia rilled llefere Gia use 62 caR Ile agreed. 712. Suejest te due l'liligeRce


by the

is not

Agreed

Allocation


../

../

../

../

../

Allocation


../

../

../

../

../

../

../

../


Shared

Shared

CEC01430992_0027

Risk : Programme Allocation


[87.1] S1:1s13eASiOA OA iAStFl:IGtiOASiirne and cost of tie!s .,/

Re13FeseAtative iA ciFc1:1mstaAces Rot 13Fevi€1e€1 l:lelowsusQeasioa Qf the worls.s where aecessa~ because Qf lafraco breach aad for health aad safety reasons

[~87 1] Suspension by reason of lnfraco 8FeaGA.llreacil affecting .,/

Hie ceAstF1:1GtieA Fes13estf1:1lia resQect of health and safety of persons and property.

[87 1] Eailure to QrnQerly Qroteci aad secure the WO[ls.S during a / SUSQflDSiOD as reguired b~ tie.

[87.2] Occurrence of abandonment or omission of lnfraco Works if .,/

permission to resume not granted by t ie within 6 months.

Risk : Relief Events (time) and Com pensation Events (time Allocation and/or costs)


[18.2Q .' Definition of Compensation Event] Occ1:1rFeAGe ef aAy €1elay .,/

ca1:1se€1 ey t ie faifu:l§failure to give possession or access including refusal of third party to permit lnfraco to exercise occupation rights.

[Definition of Compensation Event] Occurrence of any delay caused .,/

by CEC stopping up streets.

[Definition of Compensation Event] Occ1:1FFeAce ef aAy €1elay ca1:1sed .,/

byEl!:ecutioa of Utilities Works or MUDFA works.

[Definition of Compensation Event] Delay ca1:1se€1.Bre.acil by l:lFeach ey .,/

tie.a tie or any tie Party eF ast ef Net1N0Fk Rail which adversely affects the performance of the lnfraco Works,.

[Definition of Compensation Event] Delay ca1:1se€1 l:ly .,/

€1iscevei:yDisco~e~ of unexploded ordnance, u aideatified utility apparatus or contaminated land which €1i€1 Rot at 1he time ef s1:1ch €1iscevei:y feim 13aFt of the IAfFace lAlerks.

[Definition of Compensation Event] AAy iAacc1:1Facy, iAcom13leteAess .,/

OF 1:1AfitAess fOF 131:1r13ose ef aAy ef the Backgro1:1A€1 IAfeimatioA. NQ+E: +his is nat cansistent with cla1a1ses 7.8 and 7.10 and feSYlts in significant i:isk retentian. lastruciioas from t ie which result ia disruQtioa or cost to the lafraco

[Definition of Compensation Event] Failure by t ie to obtain ~Land .,/

Consent, Building Fixing AgreementJ-=Consent, land agreement or TRO.

[Definition of Compensation Event] Protestor Action which lasts fur .,/

more tbaa 14 days

[Definition of Compensation Event] Power Failure or bursting of pipes, .,/

apparatus save when caused by lnfraco.

(Definition of Compensation Event] Vandalism impacting ETN.


Shared

Shared

CEC01430992_0028

Risk: Relief Events (time) and Compensation Events (time Allocation and/or costs)


[Definition of Compensation Event] Operator iAteFfeFeAG0 w~ ,I

Wf:aooEYfillts.

[34 .3! GGGWFFeAGe ef aAy refeFable delay Ga1,1sedDefioitioa Qf ,I

Corni;ieasatioa Elle at] 80:i b[ea!::b by iAstrnctieAs frem tie's RepFeseAtative WAGeF Glawse 34 .3~etWQ[ls Bail Qf tbe Asset ernteciioo Agceerneat Q[ tbe ~etwo[ls Bail Ag[eerneot

[Defiaitioa of Corni;ieasalioa Elleal] Malfua!::lioa Q[ aoa-iale[oQe[abilil:i ,I

of free issue material

[Defiailioa of Corngeasatioa Ellea!J A brea!::b bx !be Irarn lasi;iecior of ,I

tbe Icarn lasi;ie!::toc Agceerneat

[Defiaitioa of Corni;ieasatioa Elleat] Susi;ieasioa of tbe Woclss wbece ,I

aot due to lafca!::o bcea!::b

[Qefioitioa of Corni;ieasatioa E:lleat] Cac!:Xiag out of ces!::beduled tests :::. oc iosQe!::lioos wbece tie failed to altead tbe S!::beduled test

[Defiailioa of Corni;ieasalioa E:lleal] DiscuQlioa lo !be lafca!::o Wods.s {__ !::aused bx t ie exec!::isiag its rigbt of a!::!::ess at tbe Degot

[3+.aleefiAitieADefioitioa of Belief Elleat] Occurrence of any referable ,I

delay caused by orders or directions from t ie's Representative in respect of the removal of unsatisfactory work or materials13

[49.1/49.3] Failure to remove materials and equipment at the correct ,I

time.

[e3.2le3.+l14 Gest ef FepaifiA@ eF makiA@ 9eee aAy eama@e te pFepeFty ,I

e~ f}e~seRal iRjl:IPJ e~ geatl:l s1:1ffereg eR tl:le Site sa1,1seg ey i;2FetesteF Actien except where swch PmtesteF Actien is eirectee at the IAfraco "peFSenally" ans Rot at U1e prGjectDefiailioa of Belief E:lleal] ecotestoc 8!::tiQO agaiast tie tbat last fQC less tbao H daxs QC agaiast aax ua!::oaae!::ted tbicd i;iactx.

[Definition of Relief Event] Qelay cawsee by&ts.Jll terrorism,, ,I

[Definition of Relief Event] Qelay Gawsee by UK strike or industrial ,I

dispute affecting lnfraco workforce.

[8"/Definition of Relief Event] Qelay cawsee by a Force Majeure ,I

Event.

(e1 .1 J IAcrease te r=ate ef pre§Fess 'l+<l=lere no eAtitleFAeAt te exteAsien + ~

le1 .el AcGeleFatioA measwres Feqwiree ey tie te acGeler=ate pre@Famme + Aet arisiA§ ewt ef aAy eefawlt ey tl=le IAfraGe

[Definition of Relief Event] Qelay Gawsed by fir.aEice exglosioa ,I

ligbtaiag terni;iest. flood (other than flood caused by bursting or overflowing of aooaratus aooo.r pipes) , . - "- _ -~--· or - , " :"I ~· ••• "."'7 '

73 Tl:le sest ef tl:le test er efleAiR!l llfl is te be beFAe by 11:le IAfrase. l-lewe11er, 11Aless it saA be sRewA Uiat IRe werl1maAsRlfl er

materials were Aet iA asserElaAse witR the /1.!jreemeAt, the erElers will seRslil11te a ~elief E>,1eAt, M . . . . . . .


CEC01430992_0029

Risk: Relief Events (time) and Compensation Events (time Allocation and/or costs)


earthquakes, f)eweF faih~Fe GF faih,1Fe ef ef)eFateFS eF J,lif)es.

[e3.3J Rem0>1al ef f)rntesteFS frnm ttte e+N75 + ~ ;s fQefiAitieAJ f:aill-lFe te Aetify t ie witttiA 2Q Bl-lSiAess Qays ef + awaFeA9SS ef Elelay 9¥9Atl69ffif:)9ASati9A 9¥9At

fe4lea.!UJ.z;. f:aill-lFe te iEleAtify leA§ leaa time weFks NO:r:E: draftiRg + R:!maiRs to be settled. Roley seeks agree me Rt POA Preferred Bidder.

[e4.tea . s .2Definition of Relief Event) Failure by any Utility to i4emify ../ + -eAaeliA€Jcac!}'. out works F9E!l-liFeaoc QCOYide secvices :wbicb tbey would ordinarily gcoyide

[e4.tea.8.3J f:aill-JFeDefinilion of Relief EyentJ Any accidental loss of oc £. + damage to maAa§e iAteff.ase witl:I GeGa rnatecial Rael of tbe lnfcaco Works..

[e4.tea.8.4Definiti0n of Relief Event] f:aill-JFe te maAa€Je iAteFfase witt:i ../ + -tttiFEI f)aFly seAseAt f)F9¥iaereowec failuce or bursting or ovectlowing of aggacatus oc Qiges

[e4.tea.8.a6!1 2£65 21 Failure to iEleAtify FeEjl-liFeEI iAStr1:16lieAsnoti~ t ie ../

witbin 20 Business Days of awareness of celief ey~ntlcorngensation event and to notify in tbe gcesccibed manner

[6!1 8£65 8J Eailuce to identify long lead time works or enabling works· ../

to manage interface witb QEQ any AQQcoval Body oc tbicd 12acty· oc to identi~ instcuctions ceguiced from t ie

[64~65.9] Any other cause of delay not being a Relief Event or ../

Compensation Event or caused by lnfraco breach.

[80.14] Delay/costs due to a tie Change (save where the lnfraco could ../

have prevented the need for the tie change).

[87.1J Oss1:1rreAse ef aAy raferaele aelay/sests sa1:1sea ey sl-Jsf)eAsieA + ey t ie's Ref).eseAtati•,•e

Risk : Payment and Measurement Allocation


[41 .1] Failure to attend testing relevant to Milestone achievement. ../

[41.3] Failure to satisfyQgfily tie in relation to the achievement of a ../

milestone (including a critical milestone).

[66J eayrnent of Qontcact Edee ../ =

15 ~lele that IRlfaGe may re111a1est the assistaRGe ef tie te reme¥e pFelesters wl:lere IRfrace Ga A sl:lew, le tie's satisfaGtieR, tl:lat tl:le

IS§al remesies a11ailaele te IRfrace have eeeR eMl:la1istes er are YRSYitaele (cla1ise 63. 4). Mewever. IRfrace will iRsemRiiy t ie iR respect ef aRy cects iRGYrres iR previsiR§ si,isl:I assistaRse (sla1ise 63.7). 76

-Si,iejest te review ey Raley ef revises araltiRg.

1+ DraftiR§ remaiRs te tie settles. Reley seeks a§reemeRI pest ?referrea Bisaer. list ef Relief!CempeRsatieA i;;:1,eRts Aeeas te flew tl:lreY§A frem TSNTMA aria apply te MairiteriaRse ?eriea. !>late: sraftiRg remairis ta ee selllea. Raley seeks agreemerit pest P referrea Biaaer.


CEC01430992_0030

Risk : Payment and Measurement Allocation


[6Zl68J Subrnissioo of aQQlicatioos foe Qa~rneot witbio ceguiced ./

timescales aod Qco~isioo of ceguiced iofo[[Ilalioo

~Payment pro>+·isions are not completeof lofcaco aQQlicatioos for ./ =

Qa~rneot and can net ee cernrnentea en l'lerecectificalioo Qf sums aQQco~ed

[e7.ete7.8J18 i;:aih:1re to s1:1ernit •Jalia VA+ in¥oice on time + [~l~ Failure to adhere to requirement to procure ./

collateral warranties prior to payment,

Fail1:1re ey tie to iss1:1e Maintenance SeF¥ice Interim Certificate + aeernea to ee an iss1:1e of MSIC for f1:1II arno1:1nt claimea

(69.1] Interest on Late Payment at Base Rate + 2% (against lnfraco i: ln•.·eice or tie set off),

[69 2l Set-off of amouots due lo tie fcom tbe lofcai.o ./ -

(69.3] Failure to issue a notice of withholding within the prescribed ./

time period,

[70.1] Payment of tax on any taxable supplies to tie, ./

[ZQ 2l eaxmeot of VAI QCOQecl~ cbai;geable b;t tbe lofcaco 00 tbe ./

suQQl:t to tie of aox goodsLse~ii.es uodec !be lofcai.o Cootcact

[ZQ JJ eco~isioo of suQQOcl io celalioo to VAI disQules i ~

(70.5] Reimbursement of tl'lira party VA+ intenaea in l=larty CostsJlAI ./ ./

elemeot of ceirnbucserneot oc iodemoificatioo --

Risk : Warranties Allocation


(75] Breach of corporate warranties given to the best of e.am._lnfraco ./

Member's knowledge iofQ[[Ilatioo and belief.

18 Subjoot agFeeA'!eRt eR pFaGtiGalities.

79 % EleletieRs subjoot to-Mu Fe agreeA'leRt.


Shared

+

Shared

CEC01430992_0031

Risk : Required Insurances

[76.1 J Failure to f)ffiGYfeObtain and maintain Required Insurances,,

[76.11/7614] Failure to comply with the terms of the Required Insurances or OCIP Insurances,,

[7€U 3) GeffiffieFGially 1:1AFeasooat»e:Z6 12) ~o a~aila bility of Beguiced Insurances at commercially reasonable rates a Ad teFms et iASl:IFaAG90r maintenance of Beguired Insurances is at abo~e comme~ially reasonable cates

[~SQ Fail1:1Fe te eetaiA eF maiAtaiA:Z6 16] Excessesldeduciibles .u.o.d.fil OCIP Insurances or Additional Insurances wbere not tbe fault of tie or tbe I nfraco

(76.16) a-t Excesses/deductibles under OCIP Insurances or Additional Insurances te the e~eAt that the slaim is d1:1e te asts er emissieAs ef thewbece tbe fault of lnfraco,

(:Z6 16) Excesseslded uciibles undec QC le Insurances 0( Additional Insurances wbere tbe fault otiie or wbere tie bas altered tbe le~el

. ~

[:Z6 1 :Z] Eailure to obtain and maintain QCle Insurances

(:Z6 18] Eailuce to obtain and maintain Additional Insurances

[:Z6 201 Eailure to notifl( tie of claims under tbe Beguiced Insurances or Additional Insurances.

(:Z6 24] ~o a~ailabilill( of Additional Insurances at commeccialli1 ceasonable cates

Risk : Indemnities, liabi lity and sole remedyM

(49.2] Loss or damage to lnfraco's Equipment, Temporary Works, goods or materials, Trams, engineers works vehicles, Spare Parts, Special Tools (s1:1bjest sa~e for deatb iniuri or damage to Glatise ~~roi:1erti1 caused by tie or CEC

[[77.1]8~ The lnfraco to indemnify the Indemnified Parties from and against any and all claims. suits. losses. liabilities damages, penalties, fines, forfeitures, and the costs and expenses incident thereto (including without limitation any legal costs of defence) as a result of the lnfraco's negligence or breach of the Agreement}. NQ+Ei see feetAete 84:

80 Raley l:las OGIP reAewal isswes le be GlariHeEI.

81 Raley !:las OGIP renewal isswes le be slariHeEI.

~ iability c.ap,,excJusiv.e.remedy_aoclde.tects Uability cur1.eatly uoae.r.negotiation.

Allocation


../

../

../

+ £.

../

../

../

../

../

~

Allocation


../

../

82 Glawse 77 (IAsemRilyj remains UMeF~j~UQ negotiation..QD....O~a.d.amageJQ..p.r_Ol2ll.Cly...QL.l~.


CEC01430992_0032

Risk : Indemnities, liability and sole remedy~

f(77.2] Death-ef,--ef injury to, persons, loss of or damage to property, loss or damage to the lnfraco IJIJorks; causing itself or CEC to be in breach of any law, the Asset Protection Act, TRe DPOFA, the Roads Demarcation Agreement, Tram Inspector Agreement, the Third Party Agreements, other undertakings, Land Consent, Permanent Land or Temporary Land; IPR infringement, making alternative arrangements resulting from any act, omission, neglect, or breach of statutory duty by tie, CEC, any tie Pafty or any of their respective agents, servants or other contractors (not being employed by the lnfraco or any lnfraco Party) or for or in respect of any claims, suits, losses, liabilities, damages, penalties, fines, forfeitures, demands, proceedings, damages, costs, charges and expensesor damage to property caused by tie or CEC.J NOTE: see footnote 84

[.:µ.,.w77 4-77 7)83 Indirect Losses NOTE: see footnote; under negotiation Lo~ resulting from claims made by Forth Ports Stakis or Network Rail

(77 81 Death injury or fraud

(77 101 Indirect Losses

(77 15) Payment of tonnage royalties rent for stone gravel clay or other necessary materials

(77 17) Failure to take any measure to ensure tie is not committing an offence where the lnfraco has caused tie to commit an offence

83 S1ibjeGt te IAElirest boss EleliAitieA.

~ Cur:r.ently_uncter.,cliscussioo.


Allocation


~ =

~ =


CEC01430992_0033

Risk : Changes Allocation


(79.2] Failure to maintain a change control register and provide a ../

copy (and updates) to tie,

(80] tie Gl-laA@eCbaages ../

[80.4/80.8) Failure to comply with Estimate time limits ../

(80.6/80.14) Failure to include attempt to minimise costs, need for, ../

and impact of the tie Change

(80.7] Failure to demonstrate that it is appropriate to subcontract for ../ the tie Change and obtain best value for money

[80.8] Failure to agree the Estimate

[80.10.3.3) Refusal to implement tie change on grounds that it would ../

increase probability of an lnfraco breach

[80.11) Withdrawal of tie Notice of Change ../

[80.12) Deemed withdrawal of a tie Change due to failure to issue tie Change Order within 30 days of agreement on Estimate

(80.13) No EoT or Costs of lnfraco could have foreseen the need for ../

or materially reduced the scope of the tie charge. NOTe: under re¥iew by Roley

[80.15-80.17) Failure by the lnfraco to notify tie within set periods of ../ matters which may constitute a tie Change

[81] lnfraco Gl:laAgeCbaoges ../

[81.1] Failure to notify tie of matters which may constitute aooan ../

lnfraco Change,

[81.2.1] Reduction in Contract Price if lnfraco Change results in lower ../

costs.

[81.2.2] Increase in costs to lnfraco if such increased costs result ../

from an lnfraco Change.

[81.3] Failure to proposeProposal of a change which might result in a ../

saving of more than £~~

[82.2] Failure to take reasonable steps to minimise the iACOA'leAieAce ../

te Hie IAfFaGe aAEI ElisFuptieA te the Pro@FaFAFAeducatioa of any Small Works.

[82.3] Failure to carry out and complete any Small Works in ../

accordance with Small Works Cost Notice.

(82-:482 5] Payment of costs iA Small Works Gost Notice. ../

[83.2] Failure to take reasonable steps to minimise the duration of ../

any Accommodation Works.

[83.3] Failure to carry out and complete any Accommodation Works in ../

accordance with Accommodation Works Cost Notice.

[83A-83 5] Payment of costs iA Accommodation Works Gost Notice. ../


Shared

../

../

CEC01430992_0034

Risk : Changes

(84)17Iime and cost implications of Qualifying Changes in Law Cin excess of the thresholds}

(84 1/84 21 Agreement and discussion on effects and mitigation measures relating to Qualifying Changes in Law

[84}84QualifyiAg ChaAges ifl-baw85 (tiffle aAG GOSt ifflpliGatiOAS,

• (84.2.1] failure84 21 Failure to use all reasonable endeavours to minimise increase in costs

• (84 .2.2 3] failure. to mitigate effects and f.Q_implement changes in tha.most cost effective manner~

[84.3] Failure to implement the change in all circumstances (except to the extent that such change is not necessary to implement the Qualifying Change in Law)

[84.4.1 ]86 Payment in respect of Qualifying Changes in Law which exceed a threshole ofin aggregate £150,000.

(84.4.2] Where the lifflit of £1 a0,000 iA aggregate has beeA exGeeeee, payfflent in respeGt of SOS Qualifying Changes in Law are above a threshole of £1 a,000 in respeGt of eaGh a Re every eve At.

[84 .4 .3], \'\'here the lifflit of £1 a0,000 in aggregate has been exGeeeed, payffleAt iA respeGt of Traffl Supply QualifyiAg ChaAges iA Law whiGh are above a threshole in respeGt of £30,000 iA respeGt of eaGh ane every event

[M.4:484 4 2) Where the limit of £150,000 in aggregate has been exceeded, payment in respect of Traffl MaiAtenanceSQS. Qualifying Changes in Law which are above a threshold ofexceed in aggregate £15,000 in respect of each and every event.

[34-:4,.a84 4 3)'" Where the limit of £150,000 in aggregate has been exceeded, payment in respect of lnfrastruGtui=e MaintenanGeiram ~ Qualifying Changes in Law which are above a threshole of £7a,OOOexceed in aggregate £30 ooo in respect of each and every event.

NOTE: Roley is seeking a Gap on aggregate exposure under these pro·.'isions of £160,000. t ie to Gonsiderf84 4 4) Where the limit of £150 ooo in aggregate has been exceeded payment in respect of Tram Maintenance Qualifying Changes which exceed in aggregate £15 ooo in respect of each and revettevery event

(84.4 51 Where the limit of £150 ooo in aggregate has been ,_.., n<>vmP.nt in rP.c::nP.r.t of lnfrnc::tru,-turP. U<>\ntP.n;:inr.P.

17 ~un~o1iatio.o..

B<l eAEI aAEI eefiAitieAs ~e AegetiateEI aAEI FeerafteEI te FelleGt a~ 85 "QualityiR!I Change in baw" meaRs:

Allocation

Publ ic Private Shared Sector Sector

£_

~ ~

+ ~

+

~

~

+

~ =

(a) a DissrimiAatary GhaAge iA baw ("Qissriminatar}' ChaRge in baw" meaAs a ChaA!le iA law. the terms af whlsh aJ3J3ly e)(J3ressly te: (a) tl:ie EHi; anEl.ter (ll) the IAfraGe aAEl Aet teether J3arsaAs); aAEl.ter alterAatiaA te GeC.l*ie J39lisies; (b) a SJ3esiliG GRaAge iA law ("Spesifis Change in law" meaAs aAy GhaAge iA law •Nf:liGR SJ3esmGally aJ3J31ies ta the same as er similar te the IRfrase Werks but eMGludiA!I tRe makiA!I, ameRdmeRI er re¥esatieA af a Ry traffiG regulatiaR erder)

86 t ie ta reveFI eA A!l!IFegate GaJ3.


CEC01430992_0035

Risk : Changes Allocation


Qualifyiog Cbaoges io Law wbicb exceed io aggregate £ZS QQQ io cesQect of eacb aod e:i£e~ e:i£eol.

[8~ ~] eayrneots io [esQeci of Qualifyiog Cbaoges io Law witbio tbe ,/

tbresbolds

[84.5] General Change In Law87 subject to lofcaco's eotitlerneot to ,/ -beocbrna[ls

[85.1] The cost of any Phase 1 b option, ,/

[86 21 Eailure to QCO:llide tbe se[:llices as ceguested b~ tie io relatioo to £ aoy ~etwocls Exgaosioo

[~86 21 The cost of lofcaco QCO:llidiog Se[:llices io relatioo to any ,/

Network Expansions.

Risk : Termination Allocation


[87] Suspension of Work (unless necessary by reason of default on ,/

the part of lnfraco and for f:)Fef:l0F 69ASlF1:16ti9A, health and safety reasons) for more tbao 6 months. NOTE: tie considering gro1:1nds for s1:1speAsion.

[88] Termination on tie Default: agreement terminates 30 days after ,/

t ie receives lnfraco notice 1:1AdeF 88.1, specifying default. tie has 30 days to rectify, if capable of rectification.

[tie Default defioitiooJ ,/

• Failure to oav jQ% of tbe Cootcact ecice QOQC IQ Se[:lliCe Cornrneocerneot O[ two rnootbs rnaioteoaoce Qayrneots·

• bceacb of tie's rnatecial obligatioos rnalsiog it irngossible for lofcaco to Qedocrn foe cootiouous Qeciod of ~5 Busioess Da:is·

• tie losol:i£eoc:i Elleot·

• tie bceacb of assigoatioo QCO:llisioos· aod

• Cbaoge io Law rnalse lofcaco Woclss irngossible or illegal

[88 SJ Eailuce to rerno:i£e lofcaco EguiQrneot followiog iecrnioatioo ./

[88.8] tie Default termination liabilitygayrneots: all works carried out ,/

as valued; prelims; supplies/materials committed under contract; demobilisation costs; subcontractor breakage costs; loss of profit (under negotiation by R9teyBBS).

87 ReElraftiA!'J req11iFea siAGe Raley seeks beAsl1markiAg,-


Shared

..,:.

Shared

CEC01430992_0036

Risk : Termination

[88.9] Suspension of woc~s for non-payment by t ie~

[89) Voluntary Termination by tie three years after the issue of the first certificate of Service Commencement (same terms as 88.8)and. eguillalent 12a:iment 12rnllisions to teanination foe t ie Default -

(90) Risk of termiAatioAJeanination due to-:- lnfraco default unless a cectification 121an is agceed and adbeced to in ces12ect of cectifiable defaults

[lnfcaco default definition}

• [DefiAition] lnfraco insolvency event88 <ceetifiable}·

• ~breach of flFO>Jision of tl=le A€JFeement_an obligation unctec tile lnfcaco Contract which materially and adversely affects the lnfraco Works Aot FeFAeElieEl witl:lin 3Q says of Aotise. <cectifiable}·

• lnfraco does not confian its acce12tance of an inccease in LDs cap at Clause 62.3 is exceeEleEl. ~

• (DefiAition] lnfraco's unremedied failure to take out and maintain the Required Insurances

• [Definition] failure to achieve Sectional Completion Date or the Service Commencement Date on or before the date falling [12 months} after the Planned Service Commencement Date or Planned Sectional Completion Date.89

~

• [Definition] lnfraco's wilful braacl:l of confi9en1iality obliijations

• [Definition] lnfi:aso's failuFe to rasolve a sonflist of interast NOT!;: sul}jest to DD

-

• [Definition] CR3A€J0~ in legal status or control of the lnfraco which is materially prejudicial to carrying out and completing the Infra co Works NOTE: sul}jest to FeView<cectifiable}·

• [DefiAition] Permanent12eananent abandonment witl:lout sue Gause of tl:le wl:lole of the lnfraco Works or a material part of them~

• (Definition] lnfraco's failure to commence Works within 90 days of Commencement Date~

• [Definition] lnfraco's suspension of works without cause for 15 eaysBusiness Qa:iS after ceceiQt of a written notice to proceed NOTE: sul}jeGt to r=eview~

• [Definit.iOA] +l:letb.e issue of d~ or more unEleFf)eFformanceUndec12ectoanance Warning Notices in any 12 month period NO:t=E: Roley FequiFes DD~

88 Raley re"liiires review.

89 Raley re"liiires a re•;iew.


Allocation


,/

,/ ,/

(fiAaAGial)

,/ =

,/

,/

,/

,/

,/

+

+.

,/

,/

,/

,/


Shared

,_

CEC01430992_0037

Risk : Termination

• failuce of tbe lofcaco to talse out aod rnaiotaio tbe Bequiced lnsucam;es (ceciifiable).

• (l:;>efiAitiOA of tie 1:;>efa1:1ltJ t ie's fail1:1Fe to make a Ry paymeAt E11:1e l:lAEleF IAteFim CeFtifisates

• (l:;>efiAitioA of tie 1:;>efa1:1ltJ t ie's eFeast:i of mateFial oeli€)atioA 1:1AEleF tt:le A€JFeemeAt wt:list:l suestaAtially frustrates OF FeAEleFS it impossiele faF tRe IAfi:aGO to peffaFA1 its oeli€)atiOAS fOF a GOAtiAUOUS peFiOEI of 30 Elays

• t ie IASOIV0AGy EveAt

• t ie eFeastl 9f assi€JAatioA provisioA (assi€)AatioA peFmitteEI to GeC, MiAisteF a REI +Eb ottlei:wise Feq1:1iFes IAfFaGo prior GOASeAt WRiGR GaA ee witRRelEI witt:lout FeaSOA)

(93) IAffaso's peFSisteAt ei:eastl of its oeli€JatioAs

(9-1-,(ij91 J Ie[IDination foe Force Majeure (ultimate teFA1iAatioAQayrneots to be made as per tie Default).

- (92] Ie[IDinatioo if lnfraco or Sub-Contractor commits a Prohibited Act (Qayrneots to rniccoc lnfcaco Qefault Qa:irneots)

[93J lofcaco's 12ecsisteot bceacb of its obliqatioos salle foe te[IDinatioo of sub-contcactocs and wi12e clean

Risk : Miscellaneous

[50.3]90 Failure iA rale as PriAGipal ContraGtor unEler COM wt:lere susA aGtioA Fesults from aAy astioA, lask of aGtioA or Elefault OR tt:le part of tt:ie IAfraso Corn12liaoce witb CQM ces12onsibilities.

[51.1] Failure to report accidents to tie and HSE oc OBB as a1212comiate

[51 21 Eailuce to liaise witb the Ernergeocy Services

[58]9,._ TUPE responsibilities. NOTE: Roley ttas required extensi •.•e amendment.

[58.9]92 Costs of compliance with TUPE provisions.,

[59.5] Reasonable and demonstrable costs arising aAEI steps eeiA€J requii:ed followiA€JfCQrn a step-in for Health and Safety and Environmental reason or fcorn lntraco talsinq aciions as cequiced undec the Ste12-10 movisioos

90 Te l:le Feviewea by Relay.

9'1- SlclbjeGt te Agreement l:letween pafties at PB. 92

l!hJbjeGt te Agreement between pafties at PB.


Allocation


./

_ , _ - ,.- -

+

+

+ +

+

./ ./

./

./

Allocation


+ £.

./

,L ./ ./

./

./


CEC01430992_0038

Risk : Miscellaneous Allocation


[71.2] Employment related and land fill tax fluctuati ons where tie is ../

informed of such increase within 3 months,

(71.2] Tax fluctuations where tie is NG+rurt informed of such increase ../

within 3 months,

[Z2J Eailure to QCQ:itide aad to QCQcure !bat sub:coatractor:s QCQ:itide :!_ details of labouc as ceguested by tie

(73] Failure to secure coatiauous irnQCQ:iterneat ia tbe lafraco Wod<;s ../

.and to provide reasonable assistance to tie in respect of best value performance and improvement includiag tbe QraQacatioa of aa 8aaual SeC:i£ice BeQoct

[94 3J Eailura to return tbe Deli:iteratiles and aay iafQCrnation followiag ../

teaninatioa oc exQi!:ll

[9a.a.iea.419a.a~ Failure to provide tbe l::::laadback eackage to ../

secure continuity i.n_services and assist ia tbe baod o:itec following termination,

((98.1-98.2] Unauthorised Assignation, ../ ../

(98.J & 4J i;;ail1,1,=e te iAfGFm tie1QQ 1] Cceatioa of aAy Gt:laAQ9 iA + ../

GGmfG!Security laterest o:iter tbe EI~ tbe 8ssets or tbe lafraco Coat ca ct

[99J Gee1,1FFeAee ef a GeAtliGt:l QQ 2] DisQosal of aay dgbt ia aay 8sset ../

if doiag so bas a rnatedal ad:iter:s etteci oa tbe Eit'.:J or tbe cigbts of ~

[~1.011 unauthorised disclosure of and inadequate safeguarding ,/ ,/

Qf.confidential information,

(101.7] Breach of terms of FOISA93, ../

1Hl2J blAa1,1tt:leFisea 1,1se ef PFOJeGt IPR NOT!;: These provisions f-+~ i:emain undeF negotiation.

(Hl2.2l i;;ail1,1Fe J3FOJ39Fly te assiQA IPR eF QFaAt a1313Fo13Fiate lieeAees te f-+~ tie

[4™1Q1 Zl Failure to QFaAt a liGeAGe iA aeeeFaaAGe witt:l tt:lis~ f-+~ ../

to tie assistaace ia cornQliaace witb EQIS8 ~obligalioas

[:l 02 2] Eailure 12ro12erly to assign 1eB oc grant a1212ro12riate licences to ../

tie.

[102.9] Failure to use reasonable endeavours to procure licences of f-../ ~ Third Party Software and commercially a:itailable software for tie .

(102.10] Failure to ensure back up of Deliverables in accordance with f-../ ~ Good Industry Practice,

(102.12] Failure to provide source code, object code and f-../ ~ documentation in relation to Third Party Software to tie,

(102 14J Eailure to ensure audilable cecocds aad sQecifications ace ../ --!;::, in rPl~tinn tn lnfr~r.n C:::r,fhm~rP ~nrl th~t it~ rlocir,n ~nrl

93 IA!rasa askAawledges tl=lat tie is s1,11ljest ta tRe ra~1,1iremeAl6 ar tRe 1-QISA aAd tile IArrasa llAd0Flakes ta assist aRd saa11erate

will:! tie (at IAfrasa's e1111eAse) witR s1,1sR sam11liaAse. ~awever, it is still tie IRat l:las lRe abligaliaA la sam11ly


CEC01430992_0039

Risk : Miscellaneous Allocation

Public Private Shared

development to industry standard so that a qualified person could verify its pectoanance in relation to equipment and functional requirements

(102.9) Failure to procure the grant of a sub licence for any rele\1ant Third Party102 15) failure to provide coding and ancillary programs to generate code in relation to the lnfraco Software.

1102 16) failure to place and the cost of placing source code of the lnfraco Software in escrow

(102 17/102 18) failure to create maintain report on update hand over and allow access to the Technical Library

(103] Breach of data controller obligations and other prescribed obligations in relation to personal data

(104 1-104 21 failure to keep au Deliverables invoices timesheets and expense claims in accordance with Good Industry Practice and in good order and to make the same available for inspection

1104 3-104 5) failure to provide further intoanation as requested by tie, to comply with storage usage or processing requests or to provide required assistance

1104 6) failure to provide intoanation to the Infra co to allow it to pectoan its obligations under the lnfraco contract

[~10..51 Failure to operate audit review and comply with the HSQE system.

(105 3) Defect in the lnfraco Works caused by non-compliance of a Deliverable with the HSOE system

Sector Sector

,/

,/

,/

,/

,/

E ./-J

,/ =

,/ -1107) failure to do any act or execute any document to give effect to ./

the lnfraco contract

1110) Acting as tie's where not authorised to do so ,/

[115] Breach ofUnlawful discrimination legislation. ,/

(118] Failure to act reasonably when exercising discretion.!§. ,/

(119) failure to mitigate losses ,/ ,/

(424-Jl] Failure to arrange interface with operator. ,/

Risk : Dispute Resolution Allocation

C!.!BBEt'.i!ILY !.!NOEB t'.i!E~QIIATIQN Public Private Sector Sector

(ScheGule 9 f:)aragraf:)l=l +J boss of right to Gisf:)ute Gue to failure to + + raise Gispute within 3 rnonths of becorning aware of Qisf:)ute.

(ScheGule 9 f:)aragraf:)h 9) boss of ri§t:lt to GiSJ:)UtO Gue to failure to + + - ., ~- •'- - - - _. ~ ..... rv-,n ·-.a.L ·'-- :~ ·- -- -.I. ,-,.,ic .L.--· ... - - - ,..., "''""' .. ..... .., .........


+

Shared

CEC01430992_0040

Risk : Dispute Resolution Allocation

C!.!BBENILY UNOEB NEGQIIAIIQN Public Private Sector Sector

aGj1,19iGatieA f:)fe¥iSi9AS~


Shared

CEC01430992_0041

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